SEI Launches Compliance, Regulatory Risk Platform
Platform launched to tackle increasing cost and complexity of regulatory compliance.
Developed by SEI's Investment Manager Services division the platform is a standalone solution based on open architecture and modular service components, covering a cross-jurisdiction inventory of global regulation, compliance program assessment and monitoring, automated regulatory filings, portfolio monitoring and risk analysis, and automated regulatory filings.
"For years, investment managers have dealt with regulatory compliance in a reactive and siloed way, focusing on one product type, regulator, or regulatory regime at a time," says Jim Warren, head of solutions strategy and development at SEI Investment Manager Services. "That approach is inefficient and error-prone, poses risks of non-compliance, and hampers a firm's ability to grow into new products and markets. SEI's platform solves those problems by giving investment organizations an integrated, streamlined way to manage and execute compliance functions firm-wide."
Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.
To access these options, along with all other subscription benefits, please contact info@waterstechnology.com or view our subscription options here: http://subscriptions.waterstechnology.com/subscribe
You are currently unable to print this content. Please contact info@waterstechnology.com to find out more.
You are currently unable to copy this content. Please contact info@waterstechnology.com to find out more.
Copyright Infopro Digital Limited. All rights reserved.
As outlined in our terms and conditions, https://www.infopro-digital.com/terms-and-conditions/subscriptions/ (point 2.4), printing is limited to a single copy.
If you would like to purchase additional rights please email info@waterstechnology.com
Copyright Infopro Digital Limited. All rights reserved.
You may share this content using our article tools. As outlined in our terms and conditions, https://www.infopro-digital.com/terms-and-conditions/subscriptions/ (clause 2.4), an Authorised User may only make one copy of the materials for their own personal use. You must also comply with the restrictions in clause 2.5.
If you would like to purchase additional rights please email info@waterstechnology.com
More on Regulation
Experts say HKEX’s plan for T+1 in 2025 is ‘sensible’
The exchange will continue providing core post-trade processing through CCASS but will engage with market participants on the service’s future as HKEX rolls out new OCP features.
No, no, no, and no: Overnight trading fails in SIP votes
The CTA and UTP operating committees voted yesterday on proposals from US exchanges to expand their trading hours and could not reach unanimous consensus.
Big xyt exploring bid to provide EU equities CT
So far, only one group, a consortium of the major European exchanges, has formally kept its hat in the ring to provide Europe’s consolidated tape for equities.
Jump Trading CIO: 24/7 trading ‘inevitable’
Execs from Jump, JP Morgan, Goldman Sachs, and the DTCC say round-the-clock trading—whether five or seven days a week—is the future, but tech and data hurdles still exist.
Pisces season: Platform providers feed UK plan for private stock market
Several companies in the US and the UK are considering participating in a UK program to build a private stock market composed of separate trading platforms.
How to navigate regional nuances that complicate T+1 in Europe
European and UK firms face unique challenges in moving to T+1 settlement, writes Broadridge’s Carl Bennett, and they will need to follow a series of steps to ensure successful adoption by 2027.
Nasdaq leads push to reform options regulatory fee
A proposed rule change would pare costs for traders, raise them for banks, and defund smaller venues.
The CAT declawed as Citadel’s case reaches end game
The SEC reduced the CAT’s capacity to collect information on investors, in a move that will have knock-on effects for its ongoing funding model case with Citadel.
