Investment compliance monitoring survey, second edition

Moving forward with a sharper focus

​Investment compliance monitoring (ICM) is among the most important risk mitigation activities undertaken by investment management companies. The risks presented by breaches of investment restrictions, which include risks to reputation can be significant. In addition, ICM costs—and payouts for breaches—can erode organizational profitability.

More than ever, regulators and investors want to understand investment managers' ICM capabilities and their management of the risks of noncompliance with investment restrictions. This is prompting investment managers to move forward with a sharper focus by aligning appropriate resources, properly structuring processes, defining clear roles and responsibilities, and developing the required data and supporting technology.

Against this backdrop, survey participants represented a diverse range of investment management organizations, collectively holding more than $10 trillion in assets under management.

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