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Investment Banking

From regulators to customers, the world is watching how banks conduct business. While banking institutions face a complex regulatory environment, financial regulatory compliance failures can bring fines, penalties, consumer litigation, and loss of consumer trust.

If you oversee compliance with a bank, credit union, or other deposit institution, you need compliance technology designed to help you meet your regulatory obligations and demonstrate your commitment to protecting your customers.

When your bank excels in compliance, trust can become a competitive advantage.

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Navigating the regulatory compliance landscape can be difficult for insurers, especially for insurance companies and agencies operating in multiple jurisdictions. Ongoing uncertainty about proposed legislation adds another level of complexity.

Without a robust compliance program, you risk regulatory actions including fines or censures, Advanced compliance, and controls are designed to help you meet oversight obligations, ensure agents’ activities comply and keep your customers safe.

“Compliance modernization helps companies pursue their core mission and achieve compliance as efficiently and effectively as possible by ‘thinking forward’ and then harnessing the best available compliance practices and technologies to comply with current and future regulatory requirements.”

–2019 Insurance Regulatory Outlook, Deloitte.

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Private Equity

Private Equity (PE) firms are subject to an array of regulatory rules, including those governing capital raising, value holdings, calculating fees and expenses and communicating with investors. Employees are subject to state and local pay-to-play regulations and must comply with other relevant federal regulatory statutes.

Without a reliable regulatory compliance infrastructure in place, you could find yourself struggling to meet your obligations. Your firm can incur significant fines and penalties when violations occur.

“Meeting regulatory obligations isn’t the only reason to have a superior compliance program in place. Investors consider compliance management one of the most important operational factors when evaluating private equity funds.”

–Corgentum Consulting 2018 Private Equity Investor and Analyst Survey

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Hedge Funds

Hedge funds continue to be under the watchful eyes of regulators intent on preventing, detecting, and correcting conflicts of interest, fraud, and insider trading. It’s not just regulators paying attention; investors—particularly institutional investors—increasingly demand transparency.

Hedge funds are subject to rigorous reporting requirements by the SEC, the CFTC, and the EU. To manage these requirements, you have to capture and maintain significant amounts of data.

Advanced financial regulatory compliance solutions can help you alleviate a tremendous administrative burden and reduce the risk of inadvertently placing your firm in the regulators’ crosshairs through errors or omissions.

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Pension Funds

Both public and private pension funds must comply with the Internal Revenue Service’s Rules, the Department of Labor’s Pension and Welfare Benefits Administration, state and local laws, and the Pension Benefit Guaranty Corporation. As you know, compliance with the rules is not optional. Understanding when, and how, ERISA and other regulations apply can be nuanced and confusing.

The risks of noncompliance include sanctions, fines, and potential ERISA fiduciary exposure. To manage pension funds, you need a reliable, scalable compliance program to protect plans and their fiduciaries from risk funds. Implementing compliance policies, processes, and technology solutions can provide plan sponsors and plan participants with peace of mind knowing the right safeguards are in place.

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Investment Managers

Are you struggling to comply with growing investors’ expectations and regulatory requirements? Non-compliance with the rules could have serious implications for you, key stakeholders, and your firm.

Regulatory uncertainty is not likely to lessen soon. A modern compliance program allows you to adapt and scale risk management to meet today’s regulatory environment and adjust when the regulatory rules shift.

“The regulatory-ready organization has three attributes: a framework for risk assessment, a mechanism to track and measure risk, and a method to allocate resources based on its understanding and experience of risks.”

— Mike Fay, principal, Deloitte & Touche LLP

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Registered Investment Advisers (RIAs)

Registered at the state level or federal level, the rules and regulations you must comply with as an RIA are primarily designed to protect investors. As singular as that compliance focus is, those regulations generally don’t include a great deal of specificity. You have to implement compliance programs and policies designed to meet general requirements. The only way to identify gaps or areas for improvement is to test those programs periodically.

Proactively implementing a robust compliance framework is key to avoiding regulatory sanctions:

  • Manage proprietary and personal trading activities
  • Safeguard clients’ assets
  • Manage communications with the public
  • Avoid potential conflicts of interest
  • Create books and records
  • Ensure privacy
  • Manage employees’ compliance with other firm policies and safeguards

You’ve spent years building your client’s trust. Make you trust that your compliance system will help you keep their confidence.

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Brokerage Firms

Registered broker-dealers must comply with rules promulgated by the Securities and Exchange Commission (SEC) and by the Financial Industry Regulatory Authority (FINRA). Managing potential conflicts of interest is critical among consumer protection regulations covered in your firm’s policies and procedures.

The penalties for brokerage firms that fail to comply with FINRA rules can range from monetary fines to expulsion from the industry. As a broker-dealer, you can leverage compliance infrastructure capabilities to manage personal trading, gifts & gratuities, pay-to-play, and other potential conflicts.

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Public Corporations

Public companies in any sector today can face complex corporate governance issues, overwhelming disclosure requirements, and the risk of shareholder activism.

The strength of a company’s brand reputation is on the line every day. Most public companies spend millions every year on branding, advertising, and marketing efforts to position a company positively to consumers. While it may seem intangible, the brand itself can have an enormous monetary value for a company and can be the edge over competitors.

Protect your company’s brand reputation and avoid issues that can come from ethics and code of conduct violations, insider trading, anti-corruption policy violations, whistleblower complaints, government investigations, and enforcement actions. A modern, efficient compliance program promotes a culture of compliance and gives you a comprehensive view of risk.

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Professional Services Organizations

A robust compliance system can protect professional service firms from risk and be a competitive advantage.

Without adequate compliance controls in place, you and other key stakeholders may face significant liability risk and regulatory consequences if a data breach, conflict of interest, or a significant business disruption occurs.

An automated digital compliance solution can help you navigate evolving rules and regulations while staying focused on growing the business.