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Regulation & Compliance

News

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.

Ex-Jefferies Fund Manager’s Order to Pay $7.2 Million Upheld

Joseph Contorinis, an ex-Jefferies Paragon Fund money manager convicted of insider trading in 2010, can be ordered to pay $7.2 million for profits he made for the fund from the scheme, a federal appeals court ruled.

Berner Defends Treasury Research Office Asset Manager Report

The head of the U.S. Treasury Department’s financial research arm defended a report on asset managers that was criticized by the industry as flawed and inadequate.

SEC’s Turf Threatened by Banking Regulators, Piwowar

U.S. banking regulators are crowding out the Securities and Exchange Commission on money-market mutual fund rules and other decisions that affect how capital markets are overseen, a top securities regulator said today.

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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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