Sometimes delays give us a chance to deeply understand the root of a problem and help us formulate an appropriate plan of action. In the case of the recent surge in regulation in the U.S. financial markets—particularly for broker-dealers—606b and its repeated delays have been met with open arms.
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As a panelist and attendee at PMAR West, I heard some consistent themes in my discussions with investment performance measurement professionals. Performance teams are looking to spend less time on operations, and have more time available for analysis and value-added activities.
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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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Many financial institutions are well on their way in their transition to a CECL allowance estimate. They are reviewing and refining results, operationalizing their process preparing documentation and engaging with auditors. With the adoption date less than two months away, here are some additional key considerations to finalize.
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The American Institute of Certified Public Accountants (AICPA) held its National Conference on Banks & Savings Institutions in National Harbor, Md. last month. Once again, SS&C Primatics had the honor of being a gold sponsor and participating in the speaker series on the Current Expected Credit Loss (CECL) model under ASC 326, Financial Instruments - Credit Losses as subject matter experts.
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In order to better understand the means and methods of fraudsters in the digital age, SS&C turned to a panel of industry practitioners representing law enforcement, one of America’s largest banks, a large asset manager, and SS&C’s own experts.
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The Global Investment Performance Standards (GIPS) are a set of compliance standards administered by the CFA Institute and used by investment managers worldwide to ensure the transparent and complete disclosure of their funds’ performance. When investment firms claim compliance, investors can directly compare the performance of their funds with one another, a feature that has become a de-facto requirement during the manager selection process by institutional investors.
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