Global Buy-Side Compliance and Surveillance

Demands have increased for compliance and risk professionals with the explosion of market and communications data in recent years. As a result, Coalition Greenwich, in collaboration with Bloomberg L.P., has launched an inaugural global compliance study. This robust study highlights how professionals’ needs are being met in light of changing market dynamics by uncovering trends in technological innovation and investment at buy-side institutions. While challenges remain, different remediation paths are explored and discussed, helping risk and compliance leaders prepare for the future.

Between October 2023 and January 2024, Coalition Greenwich gathered insights from senior front-, middle- and back-office professionals spread across a total of 84 business, risk, compliance, legal, and technology roles. Respondents hailed from asset management firms, hedge funds and other buy-side institutions in the U.S., U.K., Europe, and Asia. Questions explored how risk and compliance professionals’ needs are being met in light of changing market dynamics by uncovering trends in technological innovation and investment at buy-side institutions.