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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New blog from Managing Director Conor Smyth The perils of “end-to-end” solutions to SEC Reporting Modernization that don’t actually go from end-to-end One of the common idioms here in the US that my European colleagues may not be familiar with is “soup to nuts”, meaning from beginning to end. As I sat down to write…

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  Between MiFID II in Europe and the upcoming SEC financial reporting modernization rules in the US (which includes the monthly Form N-PORT and annual Form N-CEN), most fund management firms are in the midst of a regulatory maelstrom. At the same time it never ceases to amaze me how often you meet the laissez-faire…

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The themes from 2016 carry through; cloud, business continuity and cyber risk are still centre stage. Expect IT and infrastructure discussions to focus on how firms will leverage the growing cloud vendor community, how business continuity planning can be improved vis-à-vis regulatory focus in this area and increasing awareness that cyber threats demand serious attention…

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