Archive | Industry Trends

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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Happy Birthday, Form N-PORT!

It seems like only yesterday that the SEC finalized the rules for Investment Company Reporting Modernization and the Investment Company Liquidity Risk Management Program, yet in reality that momentous day was about one year ago. While the compliance date is still eight months away, the time between now and the first filing is likely to […]

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How RegTech is Creating New Relationships between Global Service Providers and Technology Firms in the Search for Revenue

On a recent flight home after a client meeting, I found myself thinking about what is really motivating global financial services companies in their decision-making around technology and regulatory compliance. In the highly competitive third-party administrator space, I think one of the primary motivators is the fear of revenue loss (really, it’s a motivator for […]

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To Swing or Not to Swing, That is the Question

Swing pricing is coming to the U.S. and the response has been a mixed bag. Discussions around swing pricing started in earnest September 2015, when the Securities and Exchange Commission (SEC) published a proposal for reforms “designed to enhance effective liquidity risk management by open-end funds.” About a year later, in October 2016, the SEC […]

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UK Regulator Clarifies Position for Non-EU AIFMs

The UK Financial Conduct Authority (FCA) has amended its rules on Annex IV reporting following consultation during 2016. The amendments, which were published on 25th January 2017, will affect all non-EU Alternative Investment Fund Managers (AIFMs) that market Alternative Investment ‘Feeder’ Funds in the UK under the UK’s national private placement regime.  Annex IV reporting is […]

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