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Regulation & Compliance


Taking a View on Building Loyalty

Neil Hennessy says he has managed to secure loyalty and productivity from every employee by providing creature comforts while also holding them to strict performance standards.

Fund Giants Jointly Seek Protection from Bond Conundrum

The world’s biggest money managers are mapping out proposals intended to grease trading in debt markets that regulators warn are at risk of seizing up in the event of a sudden rush by investors to pull cash.

Leveraged Lending Fears Spur Scrutiny

Regulators are now starting to show interest in how ties between leveraged loans and other links in the systemic chain -- including investment funds that buy up loans -- could magnify credit losses.

Focus on Making Money, Not Beating Indexes

Taking a simple approach hasn't hindered performance at Neil Hennessy's firm, which reported $5.9 billion in assets under management at the end of 2014, a 33% increase from the previous year. In the first part of a conversation with Money Management Executive, Hennessy discussed his firm's approach and why it shuns some market trends.

'Mere' Customer Data Is Gold to Hackers

Most companies strongly protect their crown jewels: internal sales figures, product development plans, account numbers and customer transaction information. Typically lower down the priority list are customer relationship management systems and databases of clients' contact information.



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?