5 ways to Comply Smarter with Financial Regulation




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Executive Summary

Today financial services firms are required to manage a range of both new and enhanced regulatory obligations for market abuse surveillance, communications oversight, best execution reporting, and transaction reporting, to name a few.

As firms strive to achieve compliance, it is becoming increasingly clear that traditional ways of managing these regulatory obligations are no longer sustainable.

Compliance costs are at an all-time high, now one of the top budget items. Consequently, when making decisions around compliance, firms are often prioritising cost over capabilities. However, the knock-on effect is increased risk, lowered control over the compliance process, with higher costs in the long-term.

This e-book explores five key areas that can help you improve how you manage existing requirements and future regulatory change. These five ways can transform how your organisation meets its compliance objectives and beyond.

The 5 Ways to Smarter Compliance (Chapters)

1: Manage multiple functions on one platform

2: Bring together complex data sets

3: Invest in technology built for the future

4: Focus on data first, and automation second

5. Consider the full cost of ownership

Download e-book to learn how to: 

  • Improve your data governance while reducing your risk
  • Manage a range of your obligations in one place
  • Enhance compliance control and bring down costs
  • Easily adjust to future regulatory change


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Key principles of smarter compliance

Lowered overall technology costs

By managing multiple compliance functions on one platform, there is no need for the range of tools your teams usually find themselves using, or the infrastructure to support those tools.

Improved user experience

With a unified platform for compliance, your team does not need to login to multiple times or adapt to different UIs. There is just one login and a much more joined-up experience.

Reduced storage costs

By bringing together all the necessary structured and unstructured data in one location – in the cloud – costs are dramatically reduced. You can also uncover new insight from your data.

Increased time to add value

By investing in technology that is highly automated, data-driven, and future-proofed, you can liberate your compliance teams from manual processes so they can focus on other value adding areas.

Enhanced risk and compliance management

By improving data governance, you can reduce the operational risk associated with manual data management. It also reduces the risk that something could slip through the cracks.