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Regulation & Compliance


New SEC Rule Proposals Aimed at ETFs May Chase Investors into ETNs

The new proposals may end up being the best thing that ever happened to ETNs.

Five Unforgettable Quotes From the World’s Biggest ETF Conference

A somewhat darker tone could be observed emitting from the conference this year.

SEC’s Former Top Hand on Mutual Funds to Join Kirkland & Ellis

Norm Champ, a former SEC official who shaped rules meant to prevent runs on money-market mutual funds, is joining law firm Kirkland & Ellis.

Transitioning to Web-Based Applications

Managers are lacking in everything from entitlements, to data control, to network defense and lastly, people do not understand their risk.

Regs in 2016 to Require Additional Investment in Time and Money

Regulators have placed greater emphasis on ensuring firms better understand and manage their own liquidity risk.



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?