Investment Office Behaviors in the Age of Enforcement

Due to the growth of regulatory exposures and risks in today’s investment environment, gaps in compliance coverage have the potential to hit investment returns hard.

Our most recent white paper, “Investment Office Behaviors in the Age of Enforcement,” highlights four under-examined regulatory concerns that carry major price tags for violations: the Foreign Corrupt Practices Act, Sanctions Requirements, Required Reports, and Antitrust Laws. We also interpret the results of RFG’s Third Annual Compliance Survey (completed in February 2016 with responses from 39 organizations), which show that today’s “best in class” investment teams are building well-thought-out programs to address these and similar requirements that apply to their investment activities.

The final section of the white paper describes how an investment office can use best practices to build a compliance program tailored to its specific needs. We highlight the ways in which investment offices of charitable investors face requirements that are significantly different (both broader in some respects and narrower in others) from those that apply to investment advisers. With these differences in mind, the paper discusses the elements of a strong compliance program that is capable of protecting an organization’s investment returns.

For a copy of "Investment Office Behaviors in the Age of Enforcement," contact Julia at JMeltzer@RegFG.com.