Analysis

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

Webinar: Factor Investing in the Real World

Webinar with Bernie Nelson, president North America at Style Research

Danielle Kane 26 January, 2017

Caution: Costly Tech Ahead

Fund complexes are taking a closer look at pricing models for new technology as they try to weigh costs versus value before making investments

Danielle Kane 6 January, 2017

The Fiduciary Rule’s BICE: An Uphill Battle

Under the BICE, documentation and proof of compliance is critical, but will require major overhauls from operations all the way to distribution

Danielle Kane 22 December, 2016

FO & FD Webinar: Oversight Meets Operations

Webinar with Gregory Rowland, partner at Davis Polk & Wardwell

Danielle Kane 9 December, 2016

Tracking Trends for 2017

As the fund industry moves into the last month of 2016, execs discuss what’s on their agendas as they move into the new year

Danielle Kane 22 November, 2016

Bridging The Gap: Clients and Ops

Why operations teams are taking on client-oriented responsibilities in order to build a relationship between the back-office and the end-investor

Danielle Kane 22 November, 2016

Millennials and Cyber Security: Playing Defense

How to express to the incoming ops generation that cyber threats are real

Danielle Kane 31 October, 2016

Operational Accountability

The SEC is digging deeper into organizations as they determine enforcement actions, causing operations professionals to pay closer attention to their processes and policies

Danielle Kane 25 October, 2016

Brace For Impact

Following the SEC’s release of it finalized modernization rules, operations teams will soon be testing and implementing new processes

Danielle Kane 24 October, 2016




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