Form PF

Asset management operating models ready for change says Confluence

Data maven Confluence’s latest asset management trend survey suggests regulation will drive fundamental change in the respondent firms’ back office automation and regulatory reporting requirements. In its 2017 Asset Management Trend Survey of asset management professionals, Confluence says that while the concerns voiced by respondents echo those of the 2016 survey, this year’s study finds […]

SS&C GlobeOp’s Regulatory Solutions Group Celebrates Five Year and 500 Client Milestone

SS&C Technologies Holdings, Inc. (Nasdaq: SSNC), a global provider of financial services software and software-enabled services, today announced that the SS&C GlobeOp Regulatory Solutions Group has launched several new high performance solutions designed to improve data and portfolio management, performance reporting, and investment qualification processes for funds and asset managers to complement compliance with global […]

Accountancy services with the personal touch

The hedge fund industry has experienced significant forces of change in recent years, mostly driven by market regulation in the form of FATCA and the Dodd-Frank Act placing Form PF and CPO-PQR reporting obligations on firms.  This has led to far greater complexity with respect to operational compliance and prompted a wide universe of service […]

April MFI Features Bond Fund Recap, JPM’​s Przybylski, Private Funds

The April issue of our flagship Money Fund Intelligence newsletter, which will be sent to subscribers Friday morning, features the articles: “Conservative Ultra-​Shorts Big Draw at Bond Symposium,” which recaps our recent Bond Fund Symposium conference in Boston, “J.​P. Morgan’​s Przybylski on Prime, Rates, Repatriation,” which “​profiles” the Executive Director, Head of Global Liquidity Product […]

OCIE Issues Risk Alert Regarding Compliance Topics Frequently Identified in Deficiency Letters

The SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert concerning the compliance topics most frequently identified in deficiency letters that OCIE has sent to SEC-registered investment advisers during the past two years. The five most frequently identified deficiencies or weaknesses concerned the following Advisers Act rules and requirements generally: (1) Rule […]

Common Compliance Issues for Investment Advisers

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert listing the five most frequent compliance topics identified on investment adviser examinations completed within the past two years (the “Risk Alert”). The five compliance topics include deficiencies or weaknesses under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) and […]

Advise Technologies Releases TIC Form Filing Software

Advise Technologies, an industry leading provider of regulatory reporting software, is pleased to announce the addition of TIC Form D and TIC Form SHC to the growing list of TIC Form offeringson its Consensus RMS platform. With the addition of TIC Form D and TIC Form SHC, Consensus RMS now supports over 20 global regulatory […]

Investment Adviser Sanctioned for Inadequate Trading Away Disclosure

On July 14, 2016, the Securities and Exchange Commission (“SEC”) announced an enforcement action against RiverFront Investment Group, LLC, a registered investment adviser serving as sub-adviser to clients in wrap fee programs established by various sponsors (“RiverFront”). The enforcement action resulted from RiverFront’s materially inadequate disclosure about changes in its trading practices and attendant transaction […]

Six 401(k) Investment Options

Investors can now allocate their retirement savings, thanks to the 401(k) plan. Here are six commonly used investment options, as enumerated by a recent analysis of around 25 million participants by the Employee Benefit Research Institute. 1. Equity Funds: As the most popular form pf investment, the analysis report says that almost 43% of the […]

FCA Proposals to Extend Reporting Requirements for Non-EU AIFMS

The FCA recently released its quarterly consultation Paper (No. 13) which is published to consult on amendments the FCA Handbook. One of the proposed changes relates to the transparency reporting requirements for alternative investment fund managers (“AIFs”), which it states is to reduce information gaps and allow effective monitoring of an AIF’s risk-taking activities. These […]