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Key compliance priorities of investment advisers: A short global overview
Journal of Securities Operations & Custody,
10
(3),
210-221
(2018)
Abstract
The recent years have been a busy period for any compliance officer, and the regulatory pace does not seem to be slowing down anytime soon. This paper looks to summarise the key compliance issues and challenges faced in recent times by investment management firms and the tools many entities are utilising used to tackle them. Finally, it considers what lies ahead on the regulatory horizon and the potential implications.
Keywords: compliance; supervision; regulatory filings; cybersecurity; cryptocurrencies; AML; GDPR
The full article is available to subscribers to the journal.
Author's Biography
Andrea M. Bornatico is the chief compliance officer and co-head of risk management at Argentiere Capital. He is responsible for ensuring that the firm maintains compliance with various federal and international regulations. In his second capacity, he is co-responsible for corporate and investment risk management and is a member of the risk committee. Prior to joining Argentiere, from 2011 to 2015, Andrea held similar roles at a boutique alternative investment manager in Wollerau, Switzerland. He began his career in 2005 at Man Investments, where he worked the Swiss and Singapore offices until 2010 when he was responsible for hedge fund structured products in the product lifecycle team. Andrea holds a master’s degree in economics from the University of St. Gallen and a certificate of advanced studies (CAS) in finance markets law from the University of Zurich.
