What’s changing with investment management compliance

Investment management compliance requirements have increased disproportionately compared to how organisations’ resource to manage these requirements has grown. From talent to time to cost, meeting new demands is increasingly challenging. 

There have been many new publications, updates and calls for regime changes for investment management markets in 2023. These include amongst them: 

  • ESG regulation and policies, such as the call for a new draft code of conduct for ESG data providers 
  • There has been a review of the Investment Firms Prudential Regime (IFPR) 
  • The introduction of the Consumer Duty across financial services  
  • Trade flows and transaction reporting  

Overall, there are new priorities being introduced which investment firms will be expected to adopt alongside continuous revisions to the existing frameworks in place. Firms not only need to maintain visibility over these changes, but they need to implement them in a timely manner and safeguard themselves against risk of breach. 

This can only be achieved through technological transformation, an action which has historically been difficult for the industry. What will be important moving forwards will be to a) focus on solutions that can adapt to future regulatory requirements in order to maximise the value of your investment and ensure you remain compliant, and b) to introduce best practice digital frameworks which not only support individual compliance but relieve your resource burden through automation, templates and workflows. 


How can Trailight support 

Trailight is an individual regulatory compliance platform which is purpose built to support global financial services organisations with these challenges. The platform transforms how you manage compliance, putting individual accountability frameworks at the heart of your processes and centralising all your individual compliance requirements. This not only reduces risk, automates workflows, and breaks down silos, but also supports cultural change from the data up.  

Already successfully implemented with numerous global financial institutions, our platform can be configured to your specific regional, cross-jurisdictional or global individual regulatory requirements. 


Discover more 

Read more about how to address the latest regulatory compliance challenges facing investment management organisations in our brochure: 

Individual accountability and risk control for investment management organisations 

  • How to address the biggest challenges today 
  • Manage constant change with accountability 
  • Integrate ESG and consumer functions to improve risk 
  • Update compliance processes with digitisation 
  • Why choose Trailight 
  • Compliance features for investment managers 


Download our investment management compliance brochure