News

SEC fines SunTrust $1.1m over share class fees

The firm failed to recommend the cheapest possible shares to clients, the SEC said

Peter Rawlings 19 September, 2017

Compliance cautioned to expect greater SEC data requests

The SEC has been developing new data tools to aid exams

Jason Bisnoff 19 September, 2017

Clayton: SEC prioritizing DOL fiduciary collaboration

The agency has been collecting industry feedback on standards of conduct

Jason Bisnoff 19 September, 2017

Funds seeking better compliance data

Bloomberg exec notes uptick in fund integration ahead of compliance initiatives

Emily Sakamoto 19 September, 2017

Fund managers seek client reporting modernization

The operational and technological burden of relying on IT is causing a bottleneck

Danielle Kane 6 September, 2017

Destruction from Harvey serves as reminder to shore up BCP

SEC mulls filing deadline relief in the storm’s wake

Marissa Capodanno 1 September, 2017

Fund companies not off the hook despite push for DOL rule delay

Experts assert that firms should move forward with compliance especially around data management system implementation

Danielle Kane 29 August, 2017

Synechron highlights data validation as R3 goal

KYC compliance solutions among top goals in new working group

Emily Sakamoto 28 August, 2017

Plaintiffs abandon First Eagle 36(b) complaint

This is the second excessive fee case this year where a plaintiff gave up

Jason Bisnoff 28 August, 2017

Growth of communication tools challenges documentation efforts

A Deloitte survey asked legal professionals about responding to doc requests

Peter Rawlings 22 August, 2017

Ultimus names EVP for legal admin, compliance

New hire emphasizes fund admin’s efforts to link compliance and operations

Danielle Kane 22 August, 2017

Saturna Capital launches clean shares

CEO calls out operational hurdles to getting its ‘Z shares’ ready

Danielle Kane 17 August, 2017




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