Trade allocation: Asset managers’ need for a robust Compliance function

Regulatory scrutiny of the investment process functions of asset managers and investment advisory firms has increased steadily in recent years. This has led a growing number of firms to make their compliance processes more robust and inclusive. Asset managers are also seeing a strong need to take prudent measures in building and managing compliance functions in their trade allocation processes.

With regulators intensifying their efforts to combat misconduct, it has become more vital than ever to ensure fair and equitable trade allocation practices. This necessitates complete disclosure of allocation policies and procedures and diligent maintenance of books and records.

Acuity Knowledge Partners provides bespoke services to clients seeking effective monitoring of allocation and execution services. We create dynamic, tailor-made solutions with robust, responsive and proficient control frameworks and process delivery.

Key Takeaways

1. Understanding the need for effective compliance in the trade allocation process.
2. Best practices to mitigate compliance violations in trade allocations.
3. Common types of trade allocation methodologies.
4. Present-day workflow management.
5. Noteworthy regulatory cases .
6. How Acuity Knowledge Partners can help.

---