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Dec 6, 2019

Rule 606: Get ready for implementation

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.

Dec 5, 2019

Investment performance teams seek freedom from operations

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.

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?

Nov 12, 2019

CECL: Considerations as adoption approaches

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.

Oct 31, 2019

How a golden data set can help overcome common data challenges

How do you infuse data into your day-to-day business? In a recent webinar, The Data Age—How data can drive decisions at all levels of an organization, Alastair Hewitt, Director, CORE-Sightline and Lyndsay Noble, Director, Data Science explored what goes into creating a “Golden Data Set,” and how organizations can use that information in a strategic way.

Oct 30, 2019

SS&C Primatics leads CECL discussion at AICPA

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.

Oct 29, 2019

Awareness is key to preventing fraud

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.

Oct 24, 2019

Unlocking your full potential and magnifying exposure to qualified investors, while staying on top of the industry

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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