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FREE WEBINAR: Outsourced and Supplemental Trading: How the Buy Side is Benefitting Today

September 22, 2020 By Chris Kentouris Leave a Comment

Sponsored by Tourmaline Partners Save the Date: Thursday, October 15, 2020 Time: 10AM EST Go to www.tourmalinepartnersllc.com/finops-report-webinar to register for the free dial-in details Join Tourmaline Partners and FinOps Report for a free webinar on how the buy-side is benefitting from outsourced and supplemental trading. Access to liquidity, cost rationalization, operational efficiency, regulatory compliance, and […]

Filed Under: Compliance, Funds, Investments, Ops Risk, Outsourcing Tagged With: Fund Ops, Hedge Funds, Investment Ops, Trading

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

Fair or Not: Fund Managers Face SEC’s New Valuation Rule

May 21, 2020 By Chris Kentouris Leave a Comment

Registered investment advisers might find it operationally a lot harder and a lot more expensive to value hard-to-price assets held by mutual funds if the US Securities and Exchange Commission’s proposed modernization of fund valuation practices is adopted. Appointing a chief valuation officer could become necessary to handle the laundry list of new requirements. The […]

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

Coronavirus: Survival Tips for Middle Office Fund Ops

March 26, 2020 By Chris Kentouris Leave a Comment

The coronavirus pandemic is frazzling even the best trained middle-office operations managers of US fund management shops who are working in the trenches of a battlezone. The war isn’t about setting up remote access to IT systems for employees having to work from home or deciding who should do which task and when. Following a […]

Filed Under: Compliance, Funds, Investments, Ops Risk, Outsourcing Tagged With: Fund Ops, Hedge Funds, Investment Ops, Post-Trade, Valuation

Hedge Funds: Proactive Operational Risk, Finally

April 15, 2019 By Chris Kentouris Leave a Comment

  Failed trade settlements, bad valuations, bad reconciliations, shoddy vendor management and simple forgetfulness. These glitches aren’t new for hedge fund managers. What is new is that they are turning to management and technology consultants for help.  As regulators, such as  the US Securities and Exchange Commission, look under the hood during exams and investors become […]

Filed Under: Funds, Investments, Ops Risk, Outsourcing Tagged With: Fund Ops, Hedge Funds, Investment Ops, Post Trade

Swing Pricing for US Funds: Has the SEC Gone Far Enough?

November 3, 2016 By Chris Kentouris Leave a Comment

Like it or not, fund managers will have to make peace with the Securities and Exchange Commission’s new investment company reporting modernization program and liquidity management guidelines. They’re going to have to accept doing more to curb their liquidity risk and disclose more about their investment composition. Oddly, it’s a voluntary aspect of the new SEC […]

Filed Under: Analytics, Compliance, Data, Financials, Funds, Ops Risk, Risk, Slider Tagged With: Compliance, Data, Fund Ops, Hedge Funds, Ops Risk, SEC, Valuation

T. Rowe Price Investor Payback: The Unpushed Button

June 10, 2016 By Chris Kentouris Leave a Comment

For fund managers, proxy voting isn’t a minor housekeeping matter. Depending on just how financially controversial the corporate agenda is, the vote can be as crucial to the health of investor portfolios as any trading decision. There is plenty of regulatory rulemaking to keep everyone’s eye on the ball so when something goes awry, it’s big […]

Filed Under: Compliance, Funds, Ops Risk, Rules, Slider Tagged With: Corporate Actions, Fund Ops, Ops Risk, SEC, Standards

New Alternative Fund Messages: Second Time the Charm?

September 28, 2015 By Chris Kentouris Leave a Comment

The alternative investment funds market is undergoing an eight year itch. That long ago in 2007, a group of securities depositories, fund administrators and custodians launched a project to create ISO 20022-compliant message types for orders and redemptions of units of alternative investment funds. The level of adoption of the new messaging was disappointing, and it […]

Filed Under: Funds, Infastructure, Ops Risk, Slider Tagged With: Custodians, Depositories, Hedge Funds, Innovation, Investment Ops

US T+2 Settlement: The Long Journey Officially Begins

September 22, 2015 By Chris Kentouris Leave a Comment

What a difference a day makes. Until September 16, the US financial industry had only been talking about a two-day settlement cycle. Only a preliminary roadmap of the stepping stones to T+2 had been completed, indicating that at least 30 operational workflows will be affected, requiring rule, behavioral and technology changes. On that day Securities and Exchange Commission […]

Filed Under: Clearing, Compliance, Corporate Actions, Financing, Funds, Infastructure, Investments, Ops Risk, Post-Trade, Sec Lending, Settlement, Slider, Standards, Trading Tagged With: Brokerage Ops, Collateral, Compliance, Corporate Actions, Depositories, DTCC, Fund Ops, Investment Ops, Matching, Middle Office Ops, Ops Risk, Post Trade, Regulators, SEC, Standards, T+2

AML Transaction Monitoring: Five Steps to Getting it Right

August 6, 2015 By Chris Kentouris Leave a Comment

If you think your anti-money laundering transaction monitoring software isn’t working correctly, what should you do? a) blame your vendor and replace the software b) blame your analysts and tell them to work harder c) review your data feeds and inputs d) throw your hands up and think you can’t do anything e) doubt your […]

Filed Under: Analytics, Compliance, Data, Operations, Ops Risk, Regulations, Reporting, Risk, Rules, Slider Tagged With: AML, Brokerage Ops, Compliance, KYC, Ops Risk, Regulators, Reporting, SEC

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