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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.

Dec 4, 2019

Financial services firms continue to outsource mid-to-back-office operations to remain competitive

A growing trend continues among financial services firms to outsource their middle and back-office operations and accounting processes. In a recent SS&C survey of companies in one major buy-side segment, 62% of those firms surveyed cited outsourcing or co-sourcing as a high priority.

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.

Dec 2, 2019

How to meet higher customer expectations through digital transformation

There’s a lot of talk about digital transformation and how firms across a number of industries, including insurance, can use it to optimize their operations and cut costs.

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 22, 2019

Cybersecurity issues for investment funds

As “phishing” attempts and other cyberattacks get more and more sophisticated, businesses are finding it harder to protect themselves from threats. The financial services industry is the primary target of cyber thieves, and no organization is too small to fall victim. Our whitepaper, Cybersecurity issues for investment funds, explores this topic in more detail.

Nov 21, 2019

Fundraising in Europe; a guide for US fund managers

The numbers suggest that the European asset management landscape is in good health. For managers looking for new sources of capital or diversification of their investor base, Europe is a very compelling region.

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