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Clear Path Analysis spoke to 20 investment group professionals on their attitudes towards managing regulatory pressures, reforms, and ongoing operational pressures to remain compliant.

Given the sensitive nature of the responses, the report does not disclose individuals answers, so exact challenges cannot be attributed to one or another group, but instead the Handling Global Regulatory Reporting Demands special report offers a summary of the most pressing challenges global fund groups face and how they’re tackling such ongoing issues to optimise their business and regulatory reporting practices.

Contributors to the Report include Aberdeen Standard Life, AJ BELL Investments, BlackRock, Brookfield Asset Management, BTIM Australia, Equitile investments, Fiera Real Estate Investment Management, First Sentier Investments, Full Goal Asset Management Invesco, Liberum Wealth Management, M&G Investments, Moonfare Private Equity, Ninety-One Investments, Prime Value Asset Management, Pzena Investment Management, Strategic Investment Group.

Key themes and questions asked as part of the survey:

Data Silos

  • What challenges do data silos present for compliance and regulatory reporting, if any?
  • What overlaps in data use and storage currently exist?
  • What effect does this have on efficiency and timeliness of accessing operational data?
  • Do you have a unified reference data strategy for meeting business and compliance needs?

Lower cost of ownership for regulatory reporting:

  • What is their appetite and strategy when it comes to leveraging cloud infrastructure?
  • Do you have a centralised operating model for your compliance needs?
  • How do you handle additional regulatory reporting requirements?
  • What are the processes for dealing with new regulations?
  • Do you have new vendors for different emerging regulations or one vendor?

Exploring the complexities of regulatory reporting globally:

  • What are the Challenges to understanding the granularities of regulations around the world?
  • How are you handling the complexity, change, and evolution of regulation?

Managing Outsourced Arrangements:

  • Where do you see the future of regulatory reporting heading, in-house or external?
  • What is the tipping point for no longer controlling the regulatory reporting operational process in-house?
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