Home2017January 2017

Our Mutual Fund Data Management Whitepaper is a thought piece authored by Whitfield Athey, CEO and Burton Keller, EVP, of Delta Data, that addresses the unique data elements and key functionality that should be considered when acquiring or building an enterprise data management system designed to accommodate the unique needs of pooled investments – with focus on...

Whatever happens to the Department of Labor fiduciary rule, the mutual fund industry is moving into a “fiduciary era.” For one thing, investment advisors hope to capitalize on investors’ heightened awareness of the role of a fiduciary. For another, the backlog of regulatory change that must be implemented is large and there are many processes...

In light of the upcoming DOL Rule, the SEC recently issued guidance to funds on disclosure issues and certain procedural requirements with offering variations in fund sales loads and new share classes. The SEC IM Guidance Update appears to be an attempt by the SEC to not only provide needed guidance to funds, but to also to...

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