Rethinking Compliance: Why Asset Managers Are Moving Beyond In-House Models

Managing compliance in-house may feel like the most efficient path—offering more control, more transparency, and less dependency. But as regulatory demands intensify, in-house compliance actually exposes firms to mounting costs, growing complexity, and operational bottlenecks that slow progress and increase risk.

This is why an increasing number of asset managers are choosing managed services—not as a stopgap solution, but as part of a strategic shift to achieve the speed, accuracy, and adaptability required in today’s compliance environment.

Expanding Regulatory Pressure

The volume, granularity, and pace of regulatory change are all growing across jurisdictions. Recent Form PF amendments, for instance, dictate more detailed data and accelerated filing timelines. Simultaneously, regulations like AIFMD, MiFID II, and SFDR demand region-specific disclosures, layered reporting structures, and enhanced data traceability.

For firms with global strategies or complex product structures, keeping up with these changes requires more than just staying informed. It demands infrastructure that can adapt quickly and respond consistently to new regulatory requirements.

In-House Compliance: What It Takes

In-house compliance may look manageable at first glance. But once you account for the ongoing investment required to meet expectations and mitigate risks, the model reveals its limitations:

• Technology burden: Effective reporting now requires robust systems for data ingestion, validation, enrichment, and submission, including support for XML/ISO formats, audit trails, and jurisdiction-specific rules. Developing and maintaining such systems is resource-intensive.
• Regulatory maintenance: Keeping up with new and changing mandates requires continuous research, frequent protocol adjustments, and real-time oversight to avoid falling behind.
• Reputational and financial exposure: Errors in data aggregation, delayed submissions, or inaccurate filings can lead to regulatory fines or reputational damage, especially in jurisdictions with short reporting cycles and zero-tolerance frameworks.
• Operational distraction: Too much time and effort devoted to troubleshooting filings, implementing updates, or resolving inconsistencies can shift focus from high-impact initiatives like performance optimization, strategic growth, or investor engagement.

The Risks of Manual, Fragmented Workflows

Even the most experienced compliance teams struggle when workflows are fragmented. Pulling data from disparate sources, custodians, fund administrators, and internal systems, then attempting to reconcile and report it all manually only invites error.

When different regulators require different formats and interpretations, the risk of inconsistency grows. In this environment, even small inaccuracies can trigger significant regulatory issues.

How Indus Valley Partners Delivers Smarter, Scalable Regulatory Reporting

To address these challenges, Indus Valley Partners offers Regulatory Reporting as a Service, a comprehensive solution that integrates IVP Managed Services with the IVP Regulatory Reporting Solution.

This combined offering empowers asset managers to simplify compliance and scale reporting operations efficiently across jurisdictions:

• Fully outsourced reporting: IVP Regulatory Reporting as a Service takes full ownership of the filing process from data aggregation to final submission, so your internal teams can focus on strategic priorities. Our domain experts handle each step, ensuring timely and accurate filings without burdening your operations.
• Operational efficiency and cost optimization: By leveraging our specialized team and automated workflows, you reduce the risk of manual errors and minimize the cost of compliance. Built-in controls and validation checks ensure high-quality submissions every time.
• Scalable, future-ready compliance: Regulations are constantly evolving. IVP Regulatory Reporting as a Service provides ongoing support to interpret rule changes, adjust templates, and meet new requirements without disrupting your processes.

A Holistic Approach to Regulatory Reporting

IVP Regulatory Reporting as a Service brings together automation, expertise, and robust controls to remove friction from the reporting process. Additional advantages include:

• Elimination of manual data validation, correction, and form population
• Dramatic reduction of post-filing issues and amendments
• Easier scalability when adding new funds or datasets
• Three-tier internal review system to eliminate errors before final signoff
• Test filing to resolve any unattended errors before PROD submission
• Jurisdiction deadline tracking for ESMA filings, when and where applicable
• Post-filing feedback calls to improve future deliverables

With Regulatory Reporting as a Service, asset managers can cut end-to-end filing time by 80% while achieving complete transparency through a 100% auditable trail.

Learn more about Regulatory Reporting as a Service right now or contact sales@ivp.in to schedule a demo.