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SEC Delays Filing Portion of Form N-PORT

What You Need to Know On December 8th, 2017, the SEC released temporary final rule 30b1-9(T) "that requires funds in larger fund groups to maintain in their records the information that is required to be included in Form N-PORT, in lieu of filing reports with the Commission, until April 2019". This information will be "subject [...]

By | December 12th, 2017|Uncategorized|0 Comments

Status of the Middle Office

Growth in the Middle Office  What was once considered undefined and simply a conduit for everything between the front and back office investment areas, the middle office, also referred to as investment operations, is a strategic component of the investment lifecycle.  It has now evolved into a clearly defined business model including trade capture, investment [...]

By | May 16th, 2017|Uncategorized|0 Comments

SEC Modernization – Evaluating Options Starts the Solution

Evaluate Your Options for SEC Modernization One of the primary initiatives in meeting the requirements for SEC Modernization is evaluating the alternative solutions in the marketplace.  There are many vendors and service providers that are offering technology solutions and managed services to support the data collection, preparation, creation, and filings for forms N-PORT and N-CEN.  [...]

By | April 28th, 2017|SEC Modernization, Uncategorized|0 Comments

Where to Start SEC Modernization

Strategic Steps to Prepare for SEC Modernization As the industry is aggressively working towards meeting the new reporting rules, amendments and requirements under the Investment Company Reporting Modernization ("SEC Modernization") guidelines, firms are taking strategic steps in preparing for the compliance deadline of June 1st, 2018 for implementation of Forms N-PORT and N-CEN for funds [...]

By | March 23rd, 2017|SEC Modernization, Uncategorized|0 Comments

Are You Ready? SEC Modernization: Key Dates are Approaching

In October of 2016, the SEC finalized rules for SEC Reporting Modernization with the first transformational impact to the asset management industry around financial reporting impacting registered investment companies (40 Act Funds) to occur on June 1, 2018 for funds with AUM greater than or equal to $1 billion with the compliance date for Form [...]

By | March 9th, 2017|SEC Modernization, Uncategorized|0 Comments

SEC Modernization Highlights

Key Dates and Sample Strategy

By | March 1st, 2017|SEC Modernization, White Papers|0 Comments