Regulation Itinerary

Mutual funds have a lot of items to juggle when it comes to proposed rules and regulations coming out of Washington, D.C. Peter Rawlings, reporter for Fund Op’s sister publication Compliance Reporter, put together a summary that highlights various SEC items and why they matter.

Peter Rawlings 18 March, 2016

What Are The Mutual Fund Operational Priorities for 2016?

Mutual fund companies will need to keep an eye on the SEC’s agenda this year as many of its new proposals and regulations apply to the sector.

Danielle Kane 18 March, 2016

The Wild West of Cyber Security Insurance

Pressure is increasing on mutual funds to take out expensive cyber insurance polices but there are plenty of choices to make when deciding the appropriate type and level of cover for your firm

Danielle Kane 18 March, 2016

Mutual Funds Look Towards Specialized Reconciliation Providers

Amid growing regulatory pressure and increasing fund complexity, more back-office teams are taking a look at whether and how to outsource their reconciliation function

Danielle Kane 15 March, 2016

Aggressive Escheatment Tactics Pile Pressure On Back-Office

Back-office teams are responsible for ensuring shareholders and mutual funds maintain contact. And this task has become more crucial as states increasingly look to chase and seize accounts that are considered abandoned

Danielle Kane 15 March, 2016

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