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Does technology reduce the levels of non-compliance?

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Within the buy-side, technology has not been able to reduce the levels of non-compliance to its full potential. This is due to the sheer volume of rules emanating from the various regulators, the inconsistencies between the various bodies, and the complexity of the regulations themselves.

Firms have by necessity had to implement tactical solutions across the board, bringing higher costs, more data silos and applications. The irony is that this creates a higher level of operational risk for asset managers.

Had the regulators been better coordinated, solutions could have been designed and implemented to considerably reduce the operational risks and increase the transparency.

As long as these rules continue to be introduced in such a haphazard fashion, for whatever protection and benefits they may bring to the table, they will ultimately introduce greater risk and costs. Needless to say, this will inevitably impact the end investor.

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