IT is at heart of control
How can technology help hedge funds tighten compliance requirements such as restrictions for shorting, insider trading and investment restrictions ensuring a fund does not breach its investment mandate such as position limits, stop/loss?
This is an extended version of an article appearing in Technology Round Table: challenges ahead for the future.
Funds need to use trading systems that include centrally managed compliance functionality, including 'permissioning', order validation and other compliance tools that can address industry-wide regulatory initiatives and well as internal investment mandates, believes Harrell Smith at Portware.
“Some firms manage all their compliance requirements using their trading systems, while others
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