Opinion

Manager Spotlight: John Hancock

Adopting an adaptive risk model is a top priority for the firm as its operational

Danielle Kane 3 February, 2017

Comment: SEC 2017 Exam Priorities: Key Takeaways

Amid the extensive list of exam priorities for this year, there are several highlights that will require attention from operations personnel

Jay Baris 8 February, 2017

Comment: What’s next for commission-based mutual funds?

Long term strategic shifts in fees arrived with the “Clean Share” classes

Whitfield Athey 8 February, 2017

Manager Spotlight: John Hancock

Adopting an adaptive risk model is a top priority for the firm as its operational executives seek to identify problems before they occur

Danielle Kane 3 February, 2017

Comment: How will small- and mid-sized managers survive pending regulation changes?

The investment required to comply with the new SEC Modernization and DOL Fiduciary Rules, Form ADV Part 1 Amendments, and to maintain a robust cyber-security

Kirk Littleton 6 January, 2017

Comment: Trade OMS Crossroad: Which way to turn?

An exec from IMP Consulting outlines three questions firms can ask to determine if ASP, SaaS or a self-hosted solution is right for them

Ashutosh Sharma 3 January, 2017

Experts Forum: Ops execs’ forecasts for 2017

We asked operational experts what technology they plan to focus on next year, why and how to prepare

Danielle Kane 23 December, 2016

Comment: Think the SEC did you a favor with T+1? You might be in for a surprise

A Confluence executive talks about the drawbacks of T+1

Paul Soltis 19 December, 2016

How to create an Anti-Money Laundering Program that achieves compliance

Three executives from Eisner Amper outline how to create an AML program

Barry Eisenberg, Louis Bruno and Venkat Rao 29 November, 2016

Comment: Bringing new meaning to compliance and cloud technology

The evolution of the compliance function and disruption of data usage with The Cloud

Nicola Le Brocq 28 November, 2016



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