Experts in the business of investing.

New tools to aid sales as 60% of firms see compliance as a threat

New tools to aid sales as 60% of firms see compliance as a threat

60% of asset managers identified compliance as the greatest threat to their businesses-more than all other risks. The regulations governing the way firms and their intermediaries may communicate with clients are changing. Many compliance teams are struggling to release documents and digital content to marketing, sales and servicing teams on time.

This is even harder for firms offering global investment products for worldwide clients in different jurisdictions. The historic process of review and distribution is proving to be ineffective in meeting today’s business expectations. Delays will put sales at risk.

Emerging functionality available through mobile digital sales enablement tools is changing the compliance review process. These tools make it easier to manage the process of reviewing, updating, distributing and controlling client content across many business lines, with user based permissions. The result is greater confidence in distributed materials, more controls over messaging to the client and faster meeting preparation by sales and servicing teams.

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100% of risk managers say concentration risk is their highest concern

100% of risk managers say concentration risk is their highest concern

Investit Intelligence are looking at the work risk teams do and how they’re organised. Risk managers have three main roles: guiding investment teams, policing teams & products and contributing to risk reports for management, clients and regulators. We will discuss how they’re organised and resourced to fulfil these roles and how the risk culture of their firms is changing. There is a wide range of approaches to the risk function.

We asked risk managers about the most frequent issues in portfolios, given funds’ performance goals, is there too much risk for the intended Tracking Error? Too little risk for the performance goal or too much concentration? Over-concentration is either the top or ties for the top issue in every response so far. We will discuss how risk managers work with fund managers on portfolio construction at the Intelligence Forum to discuss Risk and the Organisation on 17th January. 

 

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