A key message I picked up at TSAM Boston recently was how the role of the Chief Compliance Officer (CCO) has changed dramatically in progressive buy-side firms. Think about how historically the role of the Chief Financial Officer (CFO) was belittled and marginalised with throw away descriptions of bean-counters. Not too long ago similar…

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Chief Technology Officer Ronan Brennan visited the popular TSAM conference in Boston last month – in this series of five blogs he outlines some of the key issues he discussed with attendees. The firms with the best and most pro-active cyber defences are often the worst responders if their defences are actually breached. Why so?…

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Chief Technology Officer Ronan Brennan visited the popular TSAM conference in Boston last month – in this series of five blogs he outlines some of the key issues he discussed with attendees. If we go back to the original compliance office, it was staffed with folks from the office of the General Counsel – it…

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Chief Technology Officer Ronan Brennan visited the popular TSAM conference in Boston this month where he chaired the regulation and compliance stream – in this series of five blogs he outlines some of the key issues he discussed with attendees. It’s clear to me that firms that have adopted a strategic approach in their response…

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In a recent whitepaper we published on SEC Reporting Modernization  (with our parent company CSS)  in the United States  we talked about how “timely, accurate, complete and consistent data are required for Forms N-PORT and N-CEN for two key reasons: these are public filings, and there are consequences to late or erroneous filings”. Not surprisingly the…

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New blog from Business Development Executive Kate Horgan. AAAAGH! That’s the frightened response we expect asset management company executives to make when they are hit by yet another set of rules – and within the industry, it is universally accepted that increased regulation is here to stay. Unfortunately, the compliance department is increasingly being perceived…

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  There are three reasons sub-advisors need to catch up fast on N-PORT: Someone else’s regulation has become YOUR problem We’ve come across this issue many times over the past few years but it’s becoming more noticeable that whatever the direction of regulation, no matter who the intended target, there are plenty of companies indirectly…

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  With so many firms thinking tactically when it comes to solving for Form N-PORT / N-CEN, it is refreshing that some recent conversations have seen mutual fund companies proposing to leverage their solution investment for other purposes beyond the rule. A significant amount of data needs to be centralized to complete the form, and…

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At this moment in time, most “40 Act” managers in the US should have an active and very high profile SEC Reporting Modernization program. Someone, somewhere in each firm should be under a lot of pressure to make the right decisions to ensure their firm is not exposed in a very public fashion come July…

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