Investment Technology Blog

InvestEdge CTO Jeff Cowley explains why it’s important to offer a Compliance platform that can holistically service SEC and FINRA based accounts, along with traditional fiduciary trust accounts regulated by the OCC Reg. 9 policy.

Wealth Management.com Magazine 2020 Market Outlook Featured Article

As we turn the page on a new decade, the time has come for wealth managers to revisit and update their compliance monitoring capabilities and processes.

Wealth Management.com Magazine 2019 Midyear Outlook Featured Article

In today's financial landscape, increased regulations have led to a significant rise in the amount of time and money banks and financial institutions spend on compliance monitoring. To address the evolving pain points associated with an intensifying regulatory spotlight, investment management firms and financial institutions need tools that are uniquely positioned to focus on bank guidance from the Office of the Comptroller of the Currency (OCC) regarding asset management.

InvestEdge CTO Jeffrey Cowley discusses some of the current trends in compliance around centralization of activity, outsourcing, and business segmentation. Check out the full discussion courtesy of Craig Iskowitz, Founder & CEO of Ezra Group.

We surveyed users about their personal experience with InvestEdge's suite of Investment Technology solutions. Users across various roles weighed in on the top attributes of the InvestEdge application within their business.

Spend less time double checking red flags and more time fostering relationships by incorporating a comprehensive approach to mitigating risk and managing compliance. Learn how from the final video of our three-part series "Maximizing the Power of UMAs."

As fiduciaries, wealth management firms must be able to manage and track all investment recommendations to ensure they are in the best interest of their clients. InvestEdge enables firms to create customized investment recommendations for each client, implement those recommendations, and monitor investments to verify the decisions made to align with the client's best interest. Consistency in the investment management process across your firm's book of business is critical to firms serving as fiduciaries.

Banking CIO Outlook, Top 10 Risk and Compliance Solution Providers - 2018

InvestEdge's Holistic and Robust Fiduciary Oversight

There is a general consensus among modern-day financial advisors regarding the need to automate and integrate the workflows in their systems. In most cases, financial institutions use different applications or software stacks for individual functions, and the ability to apply a single risk management standard across the whole client base for various business segments and programs strikes as a challenge.