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Regulation & Compliance

News

Alt Mutual Funds Riding Momentum

Even as the SEC decided last month to put alternative mutual funds under the regulatory microscope, the investments are in a growth period as asset managers who offer the products seek to market their advantages to advisors and investors.

BlackRock’s Fink Says Leveraged ETFs May ‘Blow Up’ Industry

BlackRock's Laurence D. Fink, who oversees the world’s biggest exchange-traded fund lineup, said leveraged ETFs are a structural problem and have the potential to “blow up” the industry.

Fidelity Reaps Rewards as Banks Lose Bond Muscle: Credit Markets

Paul Volcker hasn’t endeared himself to Wall Street bond dealers. That’s just fine with Fidelity Investments.

Hedge Fund Risk Management Faces Scrutiny at U.S. CFTC Meeting

Hedge-fund and mutual-fund firms will face scrutiny of their risk-management practices in a meeting today with the top U.S. derivatives regulator.

BlackRock to Pimco Lobby Slows U.S. Move Toward Funds Oversight

The location of the National Credit Union Administration suits its place in the hierarchy of U.S. financial regulators.

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Articles

Driving Front-office Success Through Tech & Ops

While IT budgets at buy-side firms have not fully recovered from the cutbacks of the Great Recession, front-office demands keep growing in quantity, complexity and required speed of response.

BBH's Take On the New Order of Asset Servicing

During the crisis of 2008, service providers faced an environment in which they saw their clients' assets decline sharply.

Client Reporting, Risk Management Top Concerns for Operation Managers

Executives at mutual fund companies, asset management companies and support providers rated client reporting--which included any reporting that is created for the purpose of distribution to clients--as their top challenge followed closely by risk management in Money Management Executive's third annual Operations Survey.

The Build, Buy Or Outsource Decision: Considering The Cloud

Fund sponsors have long debated the relative merits of building, buying or outsourcing fund administration technology. As sponsors face more and more data-driven demands from regulators and investors, there is increased pressure to adopt new efficient technologies for fund administration process such as expense payments and budgeting, regulatory reporting and financial reporting. While there is no one-size-fits-all answer to the "build, buy or outsource" question a mix of cost pressures, resources, reporting requirements and technological advances have tipped the balance in favor of "buy" and "outsource."

Mutual Fund Trends - Same Themes, Different Decade

These are stressful times for the mutual fund industry. An obvious statement, but one authored by a colleague ten years ago. Even more interesting is that the trends cited then are the same concerns that we hear from clients today. So what has changed?

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