Celent Industry Briefing: InvestEdge Compliance and Surveillance
InvestEdge has responded to commercial and regulatory pressures by developing a platform in which client profiling, pre-trade analytics, order management, fee billing, and surveillance are fused into a single, data-driven workflow. Will Trout, Head of Wealth Management at Celent, recently produced a briefing note and evaluation of InvestEdge’s enhanced Compliance solution. To read the full […]
Enabling Holistic Investment Management
InvestEdge CTO Jeff Cowley explains why it’s important to offer a Compliance platform that can holistically service SEC and FINRA based accounts, along with traditional fiduciary trust accounts regulated by the OCC Reg. 9 policy.
Gaining 20/20 Vision into Compliance Monitoring
Wealth Management.com Magazine 2020 Market Outlook Featured Article As we turn the page on a new decade, the time has come for wealth managers to revisit and update their compliance monitoring capabilities and processes.
Are you ready for your next audit?
As a Wealth Manager you must prioritize this critical business function…
All UMA Solutions Are Not Created Equal.
Many traditional UMAs fall down when it comes to creating clarity for clients and scalable efficiencies for advisory businesses. And advisors know that striking the right balance between these two goals is easier said than done. In our latest eBook we are introducing a new breed of UMA which offers more flexibility to clients while delivering operational […]
