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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

NYSE Puts FINRA in Hotseat For Proxy Distribution Fee Oversight

April 17, 2021 By Chris Kentouris Leave a Comment

The issue of which self-regulatory authority will take over the job of setting the maximum fees issuers must pay broker-dealers and banks to mail proxy materials to beneficial shareholders has pitted the New York Stock Exchange against the Financial Industry Regulatory Authority. leaving proxy operations managers and corporate secretaries in a lurch. The NYSE, which […]

Filed Under: Compliance, Data, Regulations, Regulators, Rules Tagged With: Brokerage Ops, Compliance, Data, FINRA, Fund Ops, Investors, Rules, SEC, Standards

Preventing Pesky US Treasury Settlement Fails

March 15, 2021 By Chris Kentouris Leave a Comment

For US broker-dealer operations managers failing to settle a transaction in US Treasury securities might never have been all that problematic, but with the number of fails rising dramatically during the peak of the COVID-19 pandemic one megabank–BNY Mellon– has decided to offer a preventative service in a technology partnership with Google Cloud. As the […]

Filed Under: Compliance, Post-Trade, Regulators, Risk, Rules, Settlement Tagged With: Compliance, Data, Regulators, Rules, Standards

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