NEW Whitepaper

Key Investment Compliance Considerations for Pre and Post Trade Monitoring

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The asset management industry is navigating choppy seas amid the pandemic. The significant rise in trading volumes has resulted in an exponential spike in volumes of pre- and post-trade alerts. The pandemic has had a two-fold impact: an increase in pre- and post-trade volumes, and shrinking inflows and margins for asset managers. Cost management has led to a visible tightening of budgets and downsizing. This insight paper discusses the COVID-19 impact and solutions – not only to cushion the blows, but also help chart strategies to sail through this crisis.

Key Takeaways
  • Pain points in managing pre- and post-trade volumes
  • Right team size – key in terms of guideline monitoring; we explain this in the context of the pandemic
  • The importance of data structure – the backbone of the pre- and post-trade functions