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SEC: Clear Path For Crypto Asset Custody?

February 19, 2025 By Chris Kentouris Leave a Comment

The US Securities and Exchange Commission’s decision last year to fine Galois Capital for violating its custody rule as well as potential changes to that regulation under the new crypto-friendly Trump administration are fueling speculation about whether one of the critical stumbling blocks to the institutionalization of the crypto asset market– the safekeeping of crypto […]

Filed Under: Blockchains, Crypto, Data, FundOps, Regulators, Standards Tagged With: Blockchain, Crypto, Data, Fund Ops, Regulators, Standards

SEC’s Take on Predictive Data Analytics: A Failed Prediction?

September 25, 2023 By Chris Kentouris Leave a Comment

Mindboggling isn’t a word often used when discussing proposals issued by the US Securities and Exchange Commission, but the latest one for registered investment advisers and broker-dealers about addressing conflicts of interest when using predictive data analytics (PDA) and PDA-like technology appears to be a notable exception. If adopted as drafted, the SEC’s requirement would […]

Filed Under: Analytics, Compliance, Data, FundOps, Innovation, Regulators, SEC Tagged With: Compliance, Data, Fund Ops, Innovation, Regulators, SEC

Securities Class Action Settlements: Don’t Leave Money on the Table

June 4, 2021 By Chris Kentouris Leave a Comment

Recovering monies from class action settlements should be a risk-free revenue generator, but that’s not the case for many money managers, broker-dealers and their custodians. Instead, the process is fraught with operational errors, which results in billions of dollars in uncollected compensation each year. The COVID-19 pandemic has not only changed the types of securities […]

Filed Under: Brokerage Ops, Compliance, Data, FundOps, Regulators Tagged With: Compliance, Custodians, Data, Outsourcing, Risk

SEC’s New Fund Fair Value Rule: Ops and Fintech Solutions

April 25, 2021 By Chris Kentouris Leave a Comment

The Securities and Exchange Commission’s new fair value rule for how fund managers should price some of their funds’ assets is causing fund managers and board of directors plenty of angst which can be eased though the right operational workflow and finech solutions, says Milestone Group. The SEC  in December 2020 scrapped all of its previous […]

Filed Under: Analytics, Compliance, Data, FundOps, Investors, Regulators, Rules, SEC, Valuation Tagged With: Data, Fund Ops, Investors, Regulators, Rules, SEC, Valuation

Wells Fargo’s Comp Plan: Will SEC’s Ops Rules Hurt Investors?

November 2, 2020 By Chris Kentouris Leave a Comment

The US Securities and Exchange Commission’s plan for how investors in Wells Fargo’s stock will be compensated a total of US$500 million for the bank’s past wrongdoing could end up marred in operational snafus making it harder for some investors to be paid and disincentivizing others from filing the paperwork to collect any compensation. That’s […]

Filed Under: Compliance, FundOps, Funds, Rules Tagged With: Compliance, Data, Fund Ops, Outsourcing, Regulations, Regulators, SEC

SEC’s Fair Value Rule: Don’t Drop Old Guidance, Say Critics

August 8, 2020 By Chris Kentouris Leave a Comment

The US Securities and Exchange Commission’s new proposed rule for fund managers to fair value some of their assets has prompted a vocal minority of legal and valuation experts to question whether the regulatory agency should entirely scrap older guidance in favor of new accounting rules as the barometer for valuation. Fair value isn’t a […]

Filed Under: Analytics, Compliance, Data, FundOps, Ops Risk, Risk Tagged With: Data, Fund Ops, SEC, Valuation

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