Author Archive | Paul Soltis

Trouble Comes in Threes

For people who believe in this sort of thing, numbers can be an omen. Seven is lucky. Thirteen is unlucky. All good things and certain bad things, most notably death and trouble, come in threes. And as everyone knows, the third time is the charm. In 2015, the number three has definitely been of the […]

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The Public Disclosure of Private Fund Information

On October 16, the SEC issued its first Private Fund Statistics report, “a report that provides private fund industry statistics and trends, reflecting aggregated data reported by private fund advisers on Form ADV and Form PF.” The report provides more in-depth data than the brief and rather unsatisfying information the SEC publishes in its Private […]

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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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Closet Index Funds – Caveat Emptor or Caveat Venditor?

Ever since the first index mutual fund was launched 40 years ago, the debate between passive and active advisors has raged. The fees for active management are significantly higher than the fees for passive management. Which is as it should be, since active managers earn those fees by providing above market returns, right? Well, some […]

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