Author Archive | Gary Casagrande

Getting 30e-3 Wrong Again

Is Rule 30e-3 back? Could we, in the mutual fund industry, actually be poised to move to a (mostly) paperless distribution of shareholder reports? Not so fast, unfortunately. I am sure that we all remember our crazy mixed feelings when the SEC reporting modernization proposal first came out in May 2015: a bold proposal that would require […]

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What the SEC Can Learn About Regulation from Transportation Technology

I recently read an article about computer-driven cars and, ever since, have been fascinated and borderline obsessed by the concept. On the streets of Pittsburgh just outside the doors of Confluence’s corporate headquarters there are Uber cars driving themselves as part of a test to advance this concept of self-driven cars. At some point in the […]

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Fund Automation: The Final Frontier

For years, the fund industry has been looking for ways to manage costs while continuing to provide competitive products to the increasingly complex marketplace. Ironically, we have done little to look in the mirror and realize how diametrically opposed those two concepts are. As traders continue to invent and then trade in new derivatives, and regulators subsequently […]

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