Month: June 2013

Continuous, Cost-Effective Compliance IS Possible

The emergence of a stricter, more onerous regulatory environment in a number of OECD countries, namely Australia, the UK, and Singapore to protect investors is excellent for the industry but it comes at a high price.  Or does it? Certainly, an effective compliance regime (eg one in which client portfolios do not breach their guidelines…
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Enabler vs Protector

With industry change well under way, I am seeing two distinct behaviours in the firms that we are working with,  and there is a high level of struggle between them that is proving to be a considerable management challenge. ENABLERS VS PROTECTORS ‘Enablers’ are ones that are extremely aware of the impact of regulatory change…
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