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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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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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 “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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