May 16, 2008
Volume IX, Issue IX
ASSET MANAGEMENT
Software & Services eBriefing
What Every Chief Investment Officer Needs to Know About Composite Tracking

On November 9, 2007, the OSC issued a notice (33-729) on the marketing practices of Investment Counsel and Portfolio Managers. The notice reflected the results of an in-depth, risk-based approach taken by the compliance staff of the OSC with 21 ICPM firms. It also included results for preliminary information gathered from a further 39 firms, primarily focused on institutional investors. The notice dealt with the review of marketing materials and the concern with lack of adherence to Section 2.1 of OSC Rule 31-505 � Conditions of Registration, which requires registrants to deal fairly, honestly and in good faith with their clients.

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Client Reporting in a Down Market

Good stories are easy to tell in an up market. But what happens when markets are down? Your unsophisticated clients are nervous and your sophisticated clients want more information. How do you explain to these vastly different groups why performance is not following the trends of previous years?

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Rolling Out a Successful Training Program: A How-To Guide

The first step to a successful training program is successfully introducing it into your working environment. So how do you create a successful program launch?

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FOR MORE INFORMATION

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CONTACT

Mark Bramley
(617) 648-0923
Email us



PRESS RELEASES

3/26/2015
Americas Trading Group Partners with SS&C to Distribute Latin American Algo Strategies

3/23/2015
SS&C Technologies Holdings, Inc. And Advent Software, Inc. Voluntarily Provide DOJ Additional Time For Merger Review


EVENTS

April 20 - 21, 2015
ALFI London Cocktail and Conference
London, UK
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April 22 - 25, 2015
RCA’s Regulation, Operations and Compliance (ROC) – Bermuda 2015
Fairmont Southampton
Bermuda
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