Uncleared Margin Rules (UMR) have been shaking things up in the derivatives world, adding layers of compliance that investment firms can't afford to ignore. Understanding and tackling them head-on can save you from major operational headaches. Given the approaching...

Contract compliance is an important daily obligation for investment firms. As requirements imposed by regulators and clients grow, traditional contract tracking methods are ever more prone to result in delays or errors in complying with the terms of these...

Data analytics has transformed investment management, aiding portfolio selection and risk management. Yet, contract negotiations—a crucial aspect of financial operations—are often stuck in the past, relying on precedent and intuition instead of hard data. The same...

Obligation ManagementAsset managers oversee a range of critical agreements with investors, including Limited Partnership Agreements (LPAs) and Side Letters. These agreements outline contractual obligations that must be diligently tracked and fulfilled to maintain...

Task management is a critical yet often underappreciated component of investment management firms’ workflows. From trade and financing agreements to vendor and investor documentation, every document contains key deadlines and deliverable obligations that must be met...

As the new year begins, investment management firms should take an active approach to ensure their operations are streamlined and compliant. Here's a checklist of critical items to review and address:1. Counterparty RelationshipsCounterparty relationships are...