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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  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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Money Fund Reform – finalization of Round two is upon us In July of 2014, the SEC announced new money market fund reforms. These reforms were introduced to strengthen the money fund industry and improve money fund resilience during periods of market stress and high volatility. In September of 2008, the Reserve Primary fund broke…

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Beware the technology vendor that is peddling a silver bullet for data quality. Investing in good data quality management software does not always deliver the desired data quality targets. Without doubt there is a correlation between the firms that have good quality data and those that have invested heavily in good technology, but this correlation…

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The prevalence of data silos in a firm is a direct link to the level of data debt being built within the firm’s data architecture. Good data architecture and design naturally leads to low levels of data debt. Data debt can be thought of as the outstanding work that needs to be done before the…

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The “broken window theory” argues that residential areas with broken windows will suffer a higher level of serious crime than neighbourhoods without.  The theory, put forward initially by social scientists James Q. Wilson and George L. Kelling, states that keeping urban environments in a well-ordered condition may stop further vandalism. The social theory was adopted…

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I had the opportunity last quarter to spend a lot of time on my soapbox and listening to senior executives sharing their strategic views on success. In March at our breakfast briefing in NYC I listened to our four panellists share their views on the challenges of supporting the distribution function in asset management with…

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