Author Archive | Paul Soltis

Bucking the Trend

PF, PQR. UCITS V.  N-MFP.  AIFMD.  MMIF.  N-PORT. In the wake of the financial crisis, there has been a long list of new rules and requirements for investment companies to deal with, most of which are designed to accommodate systemic risk in one way or the other. For some it is via enhanced data reporting […]

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The Big Trade-Off

In the middle of the recent fund disclosure modernization proposal from the SEC, there is something that seems out of place. The primary purpose of the proposal is to improve the data that the SEC collects for SEC purposes like systemic risk evaluation, examinations, informing rule-making, and evaluating industry trends. Yet included in the proposal […]

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All Stressed Out

Whenever a momentous (or even not so momentous) event occurs, the horrible cliché of “this changes everything” is not far behind. Of course, many horrible clichés are horribly true, as in the case of the financial crisis, which really has “changed everything” about fund and asset manager regulatory reporting. Post crisis, the SEC moved away […]

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Good in Theory, Bad in Accounting Practice

The conventional wisdom is that “Global is Good”. Whatever makes it easier for trade and capital to cross borders brings prosperity to everyone. So it only makes sense that all financial statement preparation follows the same rules as well. Then we can use those financial statements to do an apples to apples comparison of companies; […]

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A Regulatory Black Hole

I have been spending more time than I ever thought I would as an amateur political pundit. In my early days in the fund business, the things to keep up with almost always involved auditors or product offerings. While those two forces haven’t stopped their influence, over the past five or so years post crisis, […]

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