Category Archives: Compliance



The Quality Data Management Imperative

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Data Management at Investment Management Firms - Data Source Problem

(The following blog post is the third in a series on the need for the Investment Management Industry to embrace sound data management practices. You can access the first and second posts here.)

Earlier today I was on a conference call with one of the largest asset management firms in the world.  The call was with marketing people representing operational groups in London, Hong Kong, Vancouver, and New York. The purpose of the call was to discuss factsheet automation and the need to unify their operations.  Interestingly, we could hardly stay on topic about documents and automation tools because their real problem was source data.

During the call, each group expressed their internal challenges in collecting clean, verifiably accurate and finalized data for reporting use.

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What’s really holding up your factsheet production? (Hint: It’s a four-letter word)

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Poor Data Management Causes Inefficiency in Factsheet Production

Factsheets are a staple of the investment marketing collateral mix.  Studies show that they are still the most widely used sales tool in the field.  Every quarter, there is a rush to get them into the hands of the sales force faster than competitors.  Many factors slow down factsheet production timelines, but the most critical factor is… data.

The efficiency, accuracy, and consistency of marketing and communication output is directly tied to a firm’s data management strategy. Firms can significantly reduce their time-to-market and risks associated with factsheet production by automating their data management process.Read More

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A New Challenge for Investment Managers? ADA Compliant PDFs, Websites

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Section 508 Compliant PDF Documents
I was in a client meeting a few weeks ago when I first heard the phrase, “ADA compliant documents”.  One of our major asset management clients announced that they were beginning to make plans to update their literature strategies.  They wanted to ensure their electronic documents were accessible to people with disabilities, according to Section 508 standards. As their automation vendor, we sought to understand if and how this regulation may affect our business and our clients. Read More

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Regulatory news from the UK: The FCA proposes new social media rules

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The FCA issued a new guidance about the use of social media in financial services firms within the UKBy Emilie Totten

Investment marketers need to stay on top of changing compliance issues, especially in the social media sphere. Marketers in the U.K. are currently facing new social media rules proposed by the FCA.Read More

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