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Global Regulatory Strategy

Building regulatory-ready organizations

This is a summary of a research report from Deloitte University Press, “Building regulatory-ready organizations: Managing regulatory and compliance risk at investment management firms”, on global best practice.

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Japanese asset managers are increasingly operating across the globe, in Asia, Europe, the Middle East, and the US.

Where they historically served a core domestic Japanese client base, they now face complex regulation from across multiple jurisdictions from Mifid to ERISA, some of it sometimes seemingly contradictory with each other and also with domestic Japanese regulation and practice.

Some partner with local distributors, or provide investment strategies under white label solutions, but even here they will be required to help their partners comply with local regulation.

As their global assets grow, separate teams and processes serving clients in different regions will need to be integrated into the core business.

This will require a single global regulatory strategy and core operating model to provide consistent quality and service across both Japanese and international jurisdictions in an efficient manner, and help build enough scale for better growth momentum and cost efficiencies going forward.

The attached file is a summary of a research report from Deloitte University Press, “Building regulatory-ready organizations: Managing regulatory and compliance risk at investment management firms”, on global best practice.

(PDF, 170KB)
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