Analysis

Biometrics: Protecting Client Assets

Biometric technology has strong use cases for AML and KYC regulation purposes, and can be used as a way to enhance overall cybersecurity

Danielle Kane 8 May, 2017

Precise ways to prep reg-reporting

To comply with upcoming SEC rules, ops teams must move away from elusive strategy talk and develop tangible practices that teams can start working on

Danielle Kane 28 April, 2017

DOL advocates for clean shares

The DOL joins the SEC to support clean share movement

Danielle Kane 25 April, 2017

Analytics and AI: When is the right time to implement?

New technologies are discussed regularly at industry events, but executives are beginning to draw timelines for actual adoption, starting with predictive analytics and artificial intelligence

Danielle Kane 4 April, 2017

Manager Spotlight: OppenheimerFunds

Eric Meltzer, Chief Technology and Operations Officer, spoke to FO about why the $226bn asset manager is set to boost investments in robotics and machine learning

Danielle Kane 31 March, 2017

ICI Conference: Liquidity Risk Management Matters

At this year’s ICI Conference, operational and compliance executives discussed how they are tackling the upcoming liquidity risk management rule and what to expect from the SEC

Danielle Kane 16 March, 2017

OCIE takes aim at operations

The SEC’s OCIE list of 2017 exam priorities include multiple sections that may impact ops personnel

Danielle Kane 8 March, 2017

Fighting Back Against Fraud

Recent regulations stress that cyber-security teams and anti-money laundering teams can mitigate risks by sharing information internally

Danielle Kane 3 March, 2017

Roundtable Q&A: How to help clients navigate an uncertain regulatory environment

Symmetry Partners talks about the different client-facing functions and services that may be affected by the DOL Rule and how operational processes can be best prepared. Timothy Baker, director of product strategy, Anthony DelMastro, director of operations

Danielle Kane 27 February, 2017

Commission Model Changes for Clean Shares

SEC clarification that brokers may determine their own commissions for clean shares will shift fund ops and compliance teams’ responsibilities

Danielle Kane 6 February, 2017

NICSA: Embracing Disruptions

The NICSA SLF focused on the different type of disruptive factors influencing today’s mutual fund and financial services industries

Danielle Kane 3 February, 2017

The Value of Data Among Variable Annuities

Variable annuities and other complex investment products demand a higher level of accuracy than ever before as regulators crack down on transparency

Danielle Kane 30 January, 2017




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