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Jan 15, 2020

RCI overlay of FINRA 2019 Exam Findings

FINRA recently released its annual 2019 Report on FINRA Examination Findings and Observations. This excellent summary of what FINRA has found from its examinations and observed practices highlights real-world areas of concern.

Jan 8, 2020

Foreign demand for US debt and TIC reporting

Historically, U.S. debt has been one of the most liquid investments in the world, making it a safe option during times of uncertainty. This has made U.S. Treasuries an attractive investment to foreign investors looking for stable, relatively risk-free, positive returns.

Dec 23, 2019

The future of technology in regulatory compliance for hedge funds and private equity firms

In today’s tech-savvy society, it has become critical for banks, hedge funds, private equity firms and other financial institutions to pay close attention to their regulatory landscape.

Dec 18, 2019

The importance of advanced technology training

As technology continues to become more automated, the risk of quantitative trading, robo-advisory, or market surveillance algorithms replacing banking jobs is a great threat to Wall Street and others in the financial services industry.

Dec 16, 2019

SS&C GlobeOp helps Elan Capital transition to a standalone firm

In 2018 SS&C GlobeOp helped Elan Capital, a spin-off from Pine River Capital, transition from the infrastructure of a multi-billion dollar firm to a standalone firm. A short timeframe of six months was Elan’s biggest challenge, during which they had to secure office space, recruit the right people, and get everything up and running.

Dec 13, 2019

The future of alternative funds

Last month, SS&C co-hosted an Alternative Investment Funds Reception at the London Residence of the Ambassador of Luxembourg, hosted by His Excellency Mr. Jean Olinger, Ambassador of the Grand Duchy of Luxembourg to the Court of St James’s in Great Britain.

Dec 3, 2019

Smart Beta: its risks and returns

Smart Beta is a combination of value investing and efficient-market hypothesis. Smart Beta investing combines the benefits of Active Investing and Passive Investing strategies to obtain Alpha, lower risk or increase diversification at a lower cost than active management, and at a slightly higher cost than direct Index investing.

Nov 25, 2019

Do all mutual funds need to notice file with all jurisdictions? A review of Blue Sky laws

The differences between states’ Blue Sky laws can create a lot of confusion when it comes to compliance. What constitutes an offer and sale in a state? What type of an entity qualifies as an exempt institutional investor? How do mutual funds factor into the equation?


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