Rely on Microsoft Dynamics CRM to Satisfy Increasing Regulator Compliance Burdens and Investor Due Diligence Requests

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As a result of the severe market volatility of 2011, the recent downgrade of the US debt rating, the massive shortfall and bankruptcy of MF Global, and the deepening of the Eurozone debt crisis, today’s Institutional investors are much more risk averse. Investors are clamoring for far greater transparency from their money managers, and thus are conducting more rigorous due diligence on a firm’s portfolio holdings, investment selection and allocation processes, and internal operational controls. Besides dealing with more demanding investors, Asset Managers must also be more prepared to withstand and overcome more regulatory oversight and scrutiny as a result of the landmark reform legislation of Dodd-Frank. In both cases, Asset Managers need to have in place sophisticated integrated systems and tools that can demonstrate compliance, promote transparency, and earn the confidence of investors and regulators. To provide timely, accurate, and increasingly on-demand reporting, many Asset Management firms are turning to a centralized CRM hub, such as Microsoft Dynamics CRM 2011, which can integrate with other core portfolio management systems, performance reporting engines, trading platforms, and investor portals.

With its advanced data recordkeeping, management, and business intelligence reporting capabilities, CRM 2011 enables Asset Management firms to quickly and accurately respond to the influx of inquiries from prospects, clients, partners, institutional consultants, and regulators. These Asset Managers are better equipped to reply to mounting requests for data collection and analysis because their client and portfolio data is more organized and easily searchable in one centralized location within CRM. Since Microsoft CRM 2011 offers a consolidated, comprehensive 360 degree view of client information, employees can easily filter, locate, sort, aggregate, and report on data in real-time to promptly collaborate and correctly respond to all of the incoming audit, compliance, and investor due diligence requests. Additionally, Asset Management personnel can access and leverage CRM 2011 directly within their Outlook to refer to interaction history with key relationships and stakeholders, monitor capital raising pipelines, automate new fund launch marketing campaigns, track lead and referral sources, and streamline client on-boarding processes. The ensuing combination of increased employee productivity and more informed strategic business decision-making results in enhanced service levels to the firm’s client base. Therefore, the ever-increasing demanding clientele will be more satisfied with their overall investing experience with the firm, and thus be less likely to move their money down the block to a competitor. Furthermore, the firm is more agile and better positioned to adapt promptly to the more stringent regulatory environment to remain in compliance.

On the other hand, Investment Managers lacking a single core CRM system, and instead using siloed legacy applications and spreadsheets will inevitably severely lose assets and market share. Moreover, their widespread operational inefficiencies could potentially place the firm at a higher risk of being out of compliance and ultimately shut down.

Customer Effective is ready to partner with your firm to establish and successfully execute an industry-tailored CRM deployment, which can either be hosted in the cloud or installed on premise. To learn more about the operational simplicity and flexibility of Customer Effective: FinServ for Capital Markets and how we can accelerate your CRM ROI, lower your total cost of ownership, and grow your business, please visit

Post by: Kevin Wessels, Customer Effective, Microsoft Dynamics CRM Partner in FL and GA

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