Building a Compliance Program Focused on Investor Protection & Agility

For the past several years, regulations have been changing at a breathless pace from the SEC and other regulatory agencies in response to evolving market dynamics, technology advancements, increased scrutiny on financial stability, and a heightened focus on investor protection and transparency. We think that, beyond merely ensuring our own compliance, it's important that we help our clients understand the changes as well. This transparency gives our clients the peace of mind that our compliance systems and processes are sustainable, flexible, and that we have the agility to adapt to the unrelenting flow of new regulatory requirements. As part of this effort, we have recently brought in additional industry experts-focused on fraud prevention and data privacy-to enhance our existing compliance program.

As new regulations are announced, we analyze them to determine what those changes will mean for us including our systems and processes, and our clients, and provide our perspective. From the recent changes for Money Market Funds to the SEC's amendments to Regulation S-P, we are here to help you understand evolving regulatory requirements As we await expected changes relating to cybersecurity, safeguarding of client assets, open-end fund liquidity risk management programs, and advisers outsourcing obligations, our compliance program is built to ensure both compliance and accountability for our clients in the areas of fraud prevention, data privacy, risk management, and other applicable disciplines.

To learn more about how our compliance structure and global coordination provide best-in-class fraud prevention, data privacy, and regulatory compliance, watch our latest video. Or, watch our video about how our compliance program responds to the changing regulatory landscape.