Opinion

Comment: AML for fund managers in the placement phase

How fund managers can prevent money laundering by paying close attention during investor on-boarding

Venkat Rao 28 June, 2017

Webinar: Confluence discusses how regtech can ease Form N-PORT compliance

Confluence joined Fund Operations to host an in-depth webinar on regtech

Danielle Kane 13 July, 2017

Manager Spotlight: Putnam Investments

Chief of Ops Michael Woodall discusses Putnam’s use of partnerships to invest in new tech

Danielle Kane 5 July, 2017

Comment: Brexit may soon change investment ops dramatically

Despite still being in the early stages of Brexit, U.S. firms must take stock of how this historical change will impact their business processes

Mike Parrinello and Dave Valeri 29 June, 2017

Comment: AML for fund managers in the placement phase

How fund managers can prevent money laundering by paying close attention during investor on-boarding

Venkat Rao 28 June, 2017

Q&A: MiFID II: Client information reporting critical for U.S. managers

Two executives from trading and compliance consulting firm IMP spoke to FO about how U.S. managers should prepare middle-office operations to comply with MiFID II

Danielle Kane 2 June, 2017

Comment: Phasing in smart tech for fund administration ops

Robotics, machine learning and artificial intelligence – in what order should they be instituted, and how?

Tony Warren 30 May, 2017

Comment: Looking beyond the letter of the law for SEC liquidity rule

Operational and compliance officials should look for SEC guidance throughout the Rule 22e-4 adopting release

Stacy Louizos 8 May, 2017

Q&A: Fourth-party oversight: How far does your firm need to go?

In today’s regulatory environment, fund companies are accountable for the risks posed not just by third-party providers, but fourth parties as well

Danielle Kane 18 April, 2017

Comment: RegTech for Asset Managers

How operational teams can leverage reporting automation tools without overspending in order to improve the entire business model

Tom Pfister 4 April, 2017



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