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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 13, 2020

Digital Transformation vs. Intelligent Automation: Why it’s an “and,” not an “or”

By definition, digital transformation takes place when business processes are brought together and aligned with contemporary automation technology across an organization. Workflows become more streamlined, faster, optimized and less risky. That means tasks aren’t siloed, department-specific or done manually any longer. 

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 20, 2019

Further Consolidated Appropriations Act of 2020—A summary and view from SS&C Retirement Solutions

President Trump signed into law the Further Consolidated Appropriations Act of 2020 (FCAA).  While the FCAA contains a number of important spending provisions necessary to keep the federal government from shutting down, it also contains the most comprehensive retirement reform since the Pension Protection Act of 2006. 

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?

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