compliance

Tokenized, Trusted, and Transparent

compliance

In today’s world, financial infrastructure is evolving faster than ever. Emerging technologies are challenging long-standing models for data storage, access control, and asset ownership. While fintech continues to innovate at the front end—with apps, APIs, and customer experiences—the back-end infrastructure remains deeply fragmented, heavily siloed, and largely paper-based when it comes to trust and governance. […]

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Harnessing Real-Time Oversight to Transform Fund Governance

ai, compliance, regulation

Denis de Montigny PhD, CFA Abstract Real-time oversight is reshaping fund governance by allowing continuous monitoring and immediate response to compliance risks. This article explores the core technologies, strategic benefits, and practical implementation of real-time systems in financial oversight. Introduction Fund governance is evolving rapidly in response to the scale and speed of today’s investment

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Zero Trust Infrastructure for Financial Services

compliance, fund-distribution, infrastructure, security

Zero Trust infrastructure is essential in financial services due to the sensitivity and high value of financial data, making it a prime target for cybercriminals. As digital transformation accelerates and remote working arrangements become commonplace, traditional security perimeters are rapidly becoming obsolete. Financial institutions must adapt to this new reality, where threats can originate from

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Distribution Blind Spots: The Hidden Risk Lurking in Fund Distribution Oversight

compliance, distribution-oversight

Beneath the surface of an otherwise sophisticated asset management industry lies a persistent and under-recognized vulnerability: the lack of consistent, real-time oversight of fund distribution. While firms continue to invest heavily in product innovation, sales strategies, and regulatory compliance, one area remains alarmingly fragmented—how distribution networks are monitored, analyzed, and controlled. The recently published pan-European

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Case Studies: Lessons Learned from Governance Failures

compliance, fund-distribution

The asset management industry has witnessed several high-profile governance failures that underscore the importance of robust fund distribution oversight. These cases often highlight common pitfalls, such as inadequate monitoring, weak controls, and poor communication with distributors. Tools like Fund Guardian provide the transparency and automation needed to avoid such missteps and ensure effective governance. Common

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