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Achieving Regulatory Alpha through RegERM

The importance of a holistic technology solution

New legislative initiatives implemented since the global financial crisis have pushed the asset management industry further into the regulatory spotlight. Since 2008, regulators in the US, Europe and Asia have implemented many new regulations targeted at managing systemic risk and enhancing transparency and investor protection. Asset managers and institutional investors now face a global torrent of continually evolving and granular regulatory requirements. The introduction of the Alternative Investment Fund Manager Directive (AIFMD) Annex IV, the European Market Infrastructure Regulation (EMIR) in Europe and Dodd Frank’s Form PF and CPO-PQR in the US, has created increased transparency in every aspect of the investment management process. In addition, managers are quickly learning that they are under the regulators’ microscopes in every jurisdiction in which they operate.

The on-going globalization of financial regulatory policy is accompanied by fragmentation – creating challenges for the industry as it seeks to develop seamless, firm-wide, and universal regulatory systems. The only certainty is that the enhanced global regulatory environment will continue for the foreseeable future, mandating that managers develop, implement, and maintain Regulatory Enterprise Risk Management (RegERMTM) systems. For many firms, the cost of compliance has become a primary focal point. Legacy data management and reporting systems are overburdened and managers’ internal resources are overwhelmed by the challenge. When faced with the prospect of engaging third-party service providers to alleviate the burden, many firms focus more on the cost rather than addressing the fundamental need for, and overall benefit of, a holistic solution. Ironically, this approach is ultimately likely to be more expensive and less efficient.

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