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…

Read More

  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…

Read More

  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…

Read More

Like taxes and death, the rise of regulation is unavoidable.  Unlike death and taxes, though, it appears there could be delays and dilution of regulation – yet again we are faced with an indefinite future. In the US preparation activity is focussed on the liquidity management rule, swing pricing and the data modernization reporting changes…

Read More

I like to use the metaphor of data and oil a lot. The analogies are many – for example mechanical engines need clean oil to function efficiently, the sales engine in an asset management firm i.e. the distribution function also needs clean data to function efficiently. If you feed the distribution function with erroneous poor…

Read More

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…

Read More

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…

Read More

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…

Read More

I have spoken many times about the concept of DQD (Data Quality Denial) and about how pervasive a problem it is, and even more difficult to root out. The problem, as I see it, starts where you have technology business owners that are somewhat disconnected from the realities of how and why the business is…

Read More