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Regulation & Compliance


Why this Acquisition Ignored F-Squared's Headlines

Cedar Capital CEO Paul Ingersoll says he is confident in his firm's decision to acquire F-Squared's remaining assets, despite its past problems with the SEC.

Will Cybersecurity Bill Expose Sensitive Data?

Some privacy advocates worry that the Cybersecurity Information Sharing Act could do the opposite of what policymakers intended and flush more of consumers' sensitive information out into the open.

Managers Evolving With Innovation Trends

Technology adoption by managers is being driven by the need to become more operationally efficient, client demands for bigger returns and the peril of falling behind of regulator demands, says the head of one asset management firm.

Virtus Settles False Advertising Charges for $16.5M

Settling charges that it had used false performance claims regarding an ETF-linked strategy, Virtus Investment Advisers agreed to pay the SEC $16.5 million in penalties.

Anxiety Gap Exists in Technology Investment

Though a majority of firms agree investments in technology are necessary to remain competitive, just over a quarter are actually making that investment.



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?