Mid-size Wealth Management organisation seeking to internalise investment management functions in house.
Shoreline worked with the client to review its the business processes it has designed to support the intended trading of securities and to make ‘fit for purpose’ recommendations, keeping in mind the clients specific circumstances and industry best practice
- Assessment of proposed processes against industry best practice principles
- Identification of recommended changes to processes to address risk exposures
- Design of front and middle office organisational structures to support investmentprocesses
- A clear resourcing plan to support the internalisation of investment management
Shoreline enabled the client to understand operational industry best practice principles applicable to investment their management function including;
- Integrated pre trade compliance checks
- Use of FIX to support electronic trading
- Automated trade matching
- Independent post trade compliance and performance reporting
The client gained a deep understanding of the risks applicable to their business processes and was able to implement tactical, targeted changes to minimise them.
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