compliance

Your Compliance Team’s 2019 Resolution

By Carolyn Marsh on December 10, 2018
Compliance-Key

January 1, 2021 is the first date that your 40-Act funds can switch from shareholder report delivery (printed or electronic) to a new online publication process known as “notice-and-access.” Notice-and-access is just as it sounds: investment…

Introducing Snapshots, a new compliance feature in Kurtosys

By Alexandra Filippova on November 9, 2017
Kurtosys Snapshots

We’re excited to announce a new feature in the Kurtosys platform called Snapshots. Kurtosys users are now able to comply with aspects of record-keeping regulations in their geographic locations (such as MiFID II), by saving ‘snapshots’…

KIIDs reform: compliance burden or marketing opportunity?

By David Prosser on June 12, 2017
KIIDs-documentation

Time is running out for asset managers planning how they will comply with the MiFID II and PRIIPs regulations that come into force next year. And given the work involved with getting processes and documentation in…

Getting ready for GDPR

By David Prosser on April 12, 2017

New data regulation due to come into force in just over a year’s time will bring challenges, but also opportunities. Thirteen months and counting. In May 2018, new laws on data protection and privacy come into…

Are UK Fund Managers Jeopardising Transparency?

By David Prosser on October 4, 2016
UK fund manger transparency

Neil Woodford is used to making headlines, but his firm, Woodford Investment Management, is in the news for slightly different reasons right now. The UK’s best-known fund manager has announced he is to scrap bonuses at…

Technology May Be Fiduciary-Bound Advisors’ Saving Grace

By Karen Riccio on September 13, 2016
Technology May Be Fiduciary-Bound Advisors’ Saving Grace

Welcome to part two of the two-part series that addresses the new fiduciary rule recently handed down by the U.S. Department of Labor, looking at the effect it is having on the financial industry, and how companies…

How the New DOL Fiduciary Rule Is Disrupting the U.S. Advisory Landscape

By Karen Riccio on August 23, 2016
DOL

When the U.S. Department of Labor recently changed the rules of the financial advisory game, you would have thought the sky was falling based on the knee-jerk reactions from many in the business. Personally, I jumped…

Why Asset Managers Must Speak With One Voice

By David Prosser on August 3, 2016
asset manager voices ft image

We all say different things to different people from time to time, generally with confidence that a nuance here and an emphasis there won’t come back to haunt us. For asset managers, however, the risk of…

Canada Relaxes Rules on Corrupt Business Practices

By Karen Riccio on July 21, 2016
Canada corrupt business practices

Just three short years ago, many Canadian companies and their employees came under fire for corrupt business practices and a lack of transparency. At the same time foreign officials accused the Canadian government of not enforcing…

RegTech: A FinTech Fad or Favourite?

By Paul Fawcett on July 4, 2016
RegTech ft Image

This year regulation technology or #RegTech has been the word (or should I say hashtag) on everybody’s lips (Twitter feed). Ever since Deloitte published RegTech is the New FinTech, a paper explaining this emerging sector of…

How to succeed with Social Media Compliance in Financial Services

By Courtney McQuade on May 5, 2016
social media compliance

There’s no denying that social media is no longer a “nice to have.” It’s a required part of any company’s marketing strategy, in any industry. Although the financial services industry has been the last industry to…

Asset Management Marketing on a Shoestring Budget

By Courtney McQuade on January 21, 2016
asset-managment-marketing-shoestring-budget

One of the most difficult obstacles a small asset manager faces is how to execute an effective digital marketing plan on a tight budget. Even with limited resources, these marketers have to find ways to attract…

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