WHITE PAPER - Inside this white paper, learn how to meet the necessary compliance requirements that will ensure a smooth transition when planning for the succession of your advisory firm.
Posted: March 12, 2012 | Published: March 12, 2012


Topics:  Business Continuity Planning | Business Management | Compliance (Finance) | Compliance Best Practices | Financial Management | Financial Services Industry | Regulatory Compliance

WHITE PAPER - Islamic investment management today presents great opportunities, but setting up a compliant operation requires numerous considerations. Access this white paper to uncover 5 steps that will ensure a Shari’ah-compliant portfolio.
Posted: March 12, 2012 | Published: March 12, 2012


Topics:  Accounting | Auditing (Finance) | Compliance (Finance) | Compliance Audits | Compliance Best Practices | Equity Financing | Financial Management | Investments

WHITE PAPER - Accounting for corporate actions accurately is one of the biggest challenges for investment managers, with significant portfolio valuation, performance and tax implications for investors. And its only going to get more challenging due to reporting requirements and mounting activity. Learn how to get a handle on the 5 most common corporate actions.
Posted: December 9, 2011 | Published: December 7, 2011


Topics:  Business Performance Management | Business Process Management | Financial Management | Financial Metrics | Financial Reporting | Financial reporting software | Performance Testing | Portfolio Management (Finance)

WHITE PAPER - This paper identifies 5 key SEC alarms and explains how the right technology can support best practices to avoid triggering them. View now to explore critical issues including insider trading, books and records retention, service provider due diligence, and more.
Posted: December 6, 2011 | Published: December 5, 2011


Topics:  Ethics | Information Management | Information Security | Internal Threats | Regulatory Compliance | Securities and Exchange Commission | Security Policies

WHITE PAPER - View this paper to explore compliance challenges of the top 4 social media outlets, best practices for developing a comprehensive social media policy and more.
Posted: December 6, 2011 | Published: December 5, 2011


Topics:  Compliance Best Practices | Information Security | Regulatory Compliance | Risk Management | Security Management | Security Policies | Social Networking | Web 2.0

WHITE PAPER - Whether you are just starting a compliance program or need to fine-tune your existing process, this document will help you understand the steps involved in becoming GIPS compliant. It is not a substitute for the Standards themselves. It is designed to help you understand the value of compliance, what’s needed to achieve it, pitfalls to avoid.
Posted: April 23, 2010 | Published: April 23, 2010


Topics:  Best Practices | Compliance (Finance) | Compliance (Systems Operations) | Compliance Best Practices | Global Economy | Investments | Performance Testing | Reporting Software

WHITE PAPER - The challenge for Chief Compliance Officers is to understand the risks associated with each of these three drivers of compliance and how they can be mitigated. Read this paper to find out more.
Posted: March 8, 2010 | Published: March 8, 2010


Topics:  Compliance (Finance) | Compliance Best Practices | Investments | Policy Server Software | Risk Assessment | Risk Management

WHITE PAPER - In investment reporting, customers expect detailed reports of irreproachable accuracy, delivered with no delay or excuses. This whitepaper will serve as as a guide for Investment Advisors.
Posted: August 10, 2009 | Published: January 1, 2006


Topics:  Budgeting | Financial Applications Software | Financial Services Industry | Investments | Outsourcing | Reporting Software | Systems Management

WHITE PAPER - This document examines the current state of Order Management Systems (OMS) portfolio management capabilities, identifies major challenges and "pain points" that firms encounter, and outlines seven system attributes needed to overcome them.
Posted: August 10, 2009 | Published: January 5, 2009


Topics:  Asset Management (Finance) | Business IT Alignment | Financial Management | Financial Reporting | Financial Services Industry | Order Management Systems | Portfolio Management (Finance) | Workflow Software

WHITE PAPER - This document is designed to help firms understand their data conversion options. It outlines what data is critical and must be converted for compliance purposes and business continuity, what data is not critical, the relationship between data conversion and reporting, and what to look for in a new technology provider relative to data conversion.
Posted: August 10, 2009 | Published: January 1, 2009


Topics:  Business Continuity Planning | Business Intelligence | Compliance (Finance) | Compliance Best Practices | Data Migration | Investments | Portfolio Management (Finance) | Reporting Software