Category Archives: Compliance



5 Mistakes Asset Managers Make When Managing Disclosures

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Five biggest disclosure management mistakes by asset managers

Managing disclosure language has been a critical element of Synthesis’ document automation approach for almost two decades. Even with modern technology and processes, disclosures continue to be a pain-point for most asset management firms. Recently, we’ve been doing research into the processes asset managers use to manage their disclosures. The goal of this research is to better-understand why disclosure management continues to be problematic. Through our discussions with marketing and compliance professionals at large and small investment management firms, we’ve been digging-into how firms create, edit, distribute, and retire disclosure language — and what the major issues are.Read More

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Business Rules: What They Are and Why You Need Them for Investment Marketing Content Automation

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Using business rules in factsheet automation

Hi, I’m Kim Rebecca. Throughout my career in the global asset management industry, I’ve had the opportunity to help facilitate data-heavy content automation.  I’ve done this on thousands of regulatory documents, marketing collateral, presentations, web pages and so on. Actually, it’s probably hundreds of thousands. One of the key advantages of content automation is the accommodation of the ever-expanding scope of distribution. It allows product marketers such as myself to bolster their bragging rights. I’ve had the good fortune to help three global asset managers with their content automation efforts ­­— prominent and well-recognized firms managing assets galore. I was thus somewhat surprised to find that a common challenge in the implementation phase of all of their automation was something seemingly basic: the identification and articulation of something called business rules.Read More

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The Investment Management Marketing Conundrum

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Content Marketing in Investment Management

As is often the case, it’s what people do, rather than what they say, that’s most telling.

Let’s get this out of the way early.

If an investment manager

  • does good work
  • has responsive client service, and
  • keeps a decent track record

then there is no reason why they should struggle to grow their assets under management.

If they do, then the problem is the marketing. Full. Stop.

But it’s not because investment management marketers don’t get it – they do. The problem is that marketing is either poorly understood or severely undervalued by the portfolio management team/firm management.Read More

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Asset Managers Describe Disclosure Management Processes as ‘Cumbersome’ and ‘Risky’

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Global Disclosure Management for Asset Managers

New SEC regulations like Form ADV and N-PORT are putting even more pressure on registered investment companies to examine their regulatory enterprise risk management practices. Fund Operations reported that “RICs need to embrace the mandate of the new regulatory initiatives and proactively develop, implement and maintain robust Regulatory ERM systems to comply with…reporting obligations.”

As regulators continue to amp-up their scrutiny, many asset managers are taking a hard look at how they’re managing disclosures. Read More

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