Analysis

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

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




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