225 Enforcement Actions in the U.S. over past 30 days


FINRA enforcements decreased 70% over the past 30 days


CME issued enforcements: $1,241,754.92 over the past 30 days


161 Final Rules go into effect in the next 30 days


23 Mortgage Lending docs published in the last 7 days


1460 docs with 2637 extracted obligations from the last 7 days


97 new Proposed and Final Rules were published in the past 7 days


2668 new docs in pro.compliance.ai within the last 7 days


Considering RCM Solutions?  Here’s an RFP to get started.


Asset Management

As an asset manager, your clients expect you to cultivate market value and optimize returns on their portfolio within investors’ acceptable risk profile. However, asset management companies now face widespread uncertainty and unprecedented challenges.

There is significant pressure on margins: investors often conduct their own data analysis and seek better value funds with lower fees, driving behavior to operate more efficiently and keep operating costs low.

The product landscape for investors has diversified and become much more complex with the arrival of robo-advisors and investing apps.

Ongoing economic volatility and an increasingly complex regulatory environment means that asset managers find themselves facing more risk than ever before.

There are proactive and tangible steps that asset managers can take now to help ensure their firms are set up to succeed. Asset managers are seeking to protect or increase competitive edge by adopting new operating models and technologies to reduce pressure on cost and capacity. The right Regtech technology will help forward-thinking asset managers to stay current not only with market trends but also constant regulatory change.

Compliance.ai delivers the market-leading regulatory change management solution (RCM) designed specifically for BFSI firms.

Benefits of Compliance.ai for Asset Management Companies

Deliver Transparency and Smooth Your Transition

Mitigate compliance risk by deploying an RCM command center to gain insight into the regulatory change management and compliance functions.

Leverage the industry’s proven and trusted implementation methodology to move away from manual processes and meetings to adopt standardized and repeatable regulatory change management processes aligned to your specific risk and compliance model.

Scan the Horizon and Filter Out Noise

For asset management companies, Compliance.ai automatically monitors regulatory updates from agencies such as the SEC, FINRA, UK-FCA, HK-MA, and EU-ESMA — but delivers only the content that is relevant to you.

The information also includes guidance on topics important to you — such as Broker-Dealer, BSA/AML, Cybersecurity, Privacy, and Securities — published by CFA, CFTC, FIA, NAAIM, NAIC, QWAFAFEW, and SIFMA.

Analyze Impact and Take Action

Compliance.ai’s Obligation Analysis tool relieves the burden of line-by-line analysis. Instead, we provide a summarized list of obligations for each regulatory document.

Initiate Workflows and Break Down Silos

Our intuitive workflow technology promotes collaboration and ensures that all activities are monitored and completed.

Compliance.ai improves budgeting and resource planning by helping managers get an accurate read of workloads and important deadlines.

Collect Evidence and Speed Audits

SEC and FINRA audits and exams are a fact of life, but findings and enforcement actions don’t have to be. Our solution automatically collects evidence that obligations have been met and delivers accurate, third-party-certified reports to provide auditors with the assurance they need.

It’s time for a world-class regulatory change management.

Get the AI-powered, expert-managed regtech solution designed for financial services enterprises.

Schedule a Demo