Coping with Regulation: Now and in the Future

This research explores the effect that local and global regulatory reform has on the operating strategies and practices of financial service firms. We review how firms are organising their regulatory programmes and their delivery teams as well as share leading practices for achieving regulatory compliance cost effectively and efficiently.

This research is a continuation of Investit’s focus on regulations and their impact on the operating platforms and practices of asset management firms and service providers. 

Goals

Our research on how firms are coping with regulation focuses on the following goals:

  • Provide insight into the organisational structures and staffing approaches that firms are implementing to cope with the tide of global regulations affecting their organisations.
  • Share experiences on regulatory change programmes and how firms are achieving regulatory compliance with a focus on regulatory reporting.

Scope

This research will focus on the following areas:

  • Share how firms have coped with change and what lessons they have learned.
  • Investigate if and how local and global regulatory requirements can be synchronised to reduce rework.
  • Review strategies to organise staff and the construct of those teams to achieve regulatory compliance including roles, responsibilities and reporting lines.
  • Identify success metrics and discuss approaches for ensuring employee education and ongoing compliance to regulations after initial project completion.
  • Share best practices and common approaches to regulatory reporting including discussion on organisational structures and use of external providers.