Multi-Office Management

Case Study

For compliance teams, pulling it all together is a complex and laborious process fraught with the perils of what might have been missed along the way. The Manager platform makes it easy to monitor your offices, facilitate communication, meet your regulatory requirements, build and maintain a library of your documentation, track workflow, map risk, and complete post-trade compliance testing and reporting.

About the Client

The client is an independently owned asset manager with $5-8 billion assets under management controlled by more than 150 branch offices located in every US state. Operating as an aggregator of independent advisers, Company Z is charged with the supervision of more than 2,000 employees. Additionally, many of these individuals are dually registered and operate both as investment advisers and registered representatives of the company’s broker-dealer.

Want to read more?

Fill in the form below to download the full case study.

Loading form...

Latest Content

How Can a Small Advisory Practice Economically Be as Cyber-Secure as Possible?

Cybersecurity is a risk that applies to firms both large and small without discrimination. Even very small advisory firms, which I’ll define as having one to five staff for purposes of this discussion, have a wealth of information worth safeguarding. Cybercrime is often a crime of opportunity. Hackers are metaphorically going door to door (computer … Continued

Will We See Liquidity Risk Management Programs in Europe Soon?

In an article posted by Ignites Europe, the Commission de Surveillance du Secteur Financier (CSSF) in Luxembourg declared that it has “stepped up its supervisory focus on the liquidity aspects that are related to the recent developments” of Neil Woodford’s flagship fund and H2O Asset Management, an affiliate of Natixis Asset Management. In the U.S., … Continued