Navigating the Regulatory Landscape in Investment Management: Proactive Strategies for Compliance
In the ever-evolving world of investment management, regulatory compliance has grown more complex and demanding. Managers and firms must now navigate an intricate network of rules that span jurisdictions and asset classes . While compliance once functioned in the background, today it takes center stage as a critical function of operational integrity and investor trust. As markets evolve and regulations intensify, firms must proactively align their strategies to stay ahead. The Growing Complexity of Regulatory Frameworks Over the past two decades, the regulatory environment in investment management has shifted dramatically. Post-2008 financial reforms, along with global coordination efforts, gave rise to a surge in regulatory requirements. The Dodd-Frank Act, MiFID II, and the EU’s Sustainable Finance Disclosure Regulation (SFDR) are just a few examples that significantly expanded compliance obligations. These regulations introduced increased transparency, risk controls, and data report...
