Delta Data Digest

The Lastest on Mutual Fund/Pooled Asset Servicing

Top Takeaways from ICI Innovate 2024

Delta Data attended and exhibited at the inaugural Investment Company Institute (ICI) Innovate 2024 in San Diego, exploring how emerging technologies are shaping all aspects of the fund industry.

Overcoming Intermediary Fee Management Challenges

Learn how Delta Data's Fee Management solution helped a leading investment management firm overcome their operational challenges.

Delta Data Set to Attend, Exhibit at 2024 ICI Innovate Conference

Delta Data is set to attend and exhibit at the Investment Company Institute’s (ICI) Innovate conference in San Diego, California February 6-8, 2024, the premier conference for the intersection of technology and the asset management industry.

Creating, Curating, and Modernizing Mutual Fund Data Management

Many financial services firms are reexamining their data management processes and adopting more comprehensive approaches as part of a wider technological transformation.

Managing the Ongoing Review of Intermediary Oversight

A fund’s ongoing intermediary oversight will vary in frequency, content, and scope, based on the type of intermediary, its business model, and information deemed necessary.

Managing Risk in Intermediary Oversight Onboarding

Although intermediary oversight has always been a significant focus of the mutual fund industry, certain regulatory initiatives over the years have elevated oversight management. As new and expanded compliance requirements have emerged, fund complexes have enhanced oversight procedures and programs to ensure...

The Importance of Monitoring Exception Trends in Intermediary Oversight

A core compliance activity for mutual fund managers is monitoring the operations of their intermediary partners that distribute fund shares. The most reliable and efficient means of satisfying these oversight obligations lies with audited control reports (SOC, FICCA) that describe each intermediary’s operating environment. Throughout...

Industry Split on Fund Pricing Flexibility

A recent Ignites article explored the desire within the fund industry to implement flexible pricing structures for mutual funds, similar to those used by collective investment trusts (CITs) and separately managed accounts (SMAs).

Challenges of Intermediary Oversight for Asset Managers

Funds are seeking a controlled approach to intermediary onboarding, workflows, and document storage where they can automate oversight processes and expand comprehensive reporting capabilities.

Delta Data CEO: Automation is the Smart Solution

Automation Brings Operational Relief to Mutual Fund Industry By Cameron Routh, CEO, Delta Data  Last week, Ignites posted a video conversation I had with Sonya Swink at the NICSA Strategic Leadership Forum back in March. At the time, I was primarily thinking about the productivity...

What Does Intermediary Oversight Entail?

While the asset management industry is constantly changing, one area that continues to be at the forefront is the importance of a modernized intermediary oversight program. In conjunction with Ignites, Delta Data sponsored a webcast on Modernizing Your Oversight Service Platform where Senior Vice President,...

Delta Data CEO Discusses Automation in Mutual Fund Industry

In an interview with Ignites, Delta Data CEO Cameron Routh discussed how pricing pressure has exacerbated the need for industry companies to automate their back offices. The recent trend of a challenging environment across the industry has propelled a very dramatic shift within mutual fund...

SEC Omits Swing Pricing from MMF Reforms Package

  In a move that could signal what’s to come for traditional open-end funds, the Securities and Exchange Commission has removed the swing pricing proposal from the money market fund reforms package. The Commission stripped the proposal from the rules amendments it originally floated in...

Swing Pricing Proposal Presents Operational Challenges

 The Securities and Exchange Commission (SEC) has proposed two rules that would require swing pricing for different types of products.Swing pricing uses a “swing factor,” expressed as a percentage of the fund’s net asset value (NAV) and intended to represent an estimate of the transaction...

Automated Solutions Minimize Disruptions of M&A Growth Strategy

  Mergers and acquisitions activity (M&A) through the beginning of 2023 remained somewhat muted, consistent with the environment in the second half of 2022. But looking further ahead to the second half of 2023 and beyond, deal-making is likely to accelerate, according to Morgan Stanley....

2023 ICI Leadership Summit Recap

  Some of the top minds in the mutual fund industry gathered in Washington, D.C. in late May for the 2023 ICI Leadership Summit. The second year of the conference did not disappoint. The dynamic lineup of speakers delivered versatile and thought-provoking ideas for how...

Automation Driving Mutual Fund Technology Overhaul

  The challenging environment of the last few years propelled a very dramatic shift within mutual fund operations towards leveraging technology solutions and advancing technology transformation. With a renewed focus on efficiency, the industry is leaning into technology overhauls driven by automation and smart workflows....

Delta Data CEO Talks Swing Pricing Proposal in Ignites Interview

  Delta Data CEO Cameron Routh was recently featured in an interview with Ignites on the implications of the Securities and Exchange Commission’s (SEC) swing pricing proposal. Last year, the SEC proposed significant revisions that would require, among other reforms, the adoption of swing pricing...

Delta Data Releases New Client Knowledge and Support Center

  Last month, Delta Data released a new Knowledge and Support Center, which empowers clients to get product support and helpful information when and how they need it. The new portal grants clients ownership of their individual service experience. The Knowledge Center includes a robust,...

Delta Data 2023 Roundtable Recap – Part II

  Last month, Delta Data hosted a collection of clients and mutual fund industry leaders in Boston for a roundtable discussion that included some of the investment community’s most influential contributors. The invitation-only annual forum on March 28, 2023, featured an agenda that included in-depth...

Mutual Funds Urged to Review Differential Fees

Fee Management Solutions Help Funds Monitor Waivers To Protect Against Regulatory Risk   Earlier this year, the staff of the SEC’s Division of Investment Management issued a bulletin cautioning mutual funds and their boards of directors about potential implications under the Investment Company Act of...

Delta Data 2023 Roundtable Recap – Part I

  Last week, Delta Data hosted a collection of clients and mutual fund industry leaders in Boston for a roundtable discussion that included some of the investment community’s most influential contributors. The invitation-only annual forum on March 28, 2023, featured an agenda that included in-depth...

Delta Data to Host Clients and Thought Leaders for Industry Roundtable

Next week, Delta Data will host a collection of clients and mutual fund industry leaders in Boston for a roundtable discussion that will include some of the investment community’s most influential contributors. The invitation-only annual forum on March 28, 2023, features an agenda that includes...

Public Cloud Driving Financial Industry Digital Transformation

Part III: Public Cloud Serves as a Catalyst for Modernization in Financial Services Industry   This is the third and final installment in a three-part series that explores Cloud Technology and the Financial Services Industry. In the previous entries, we addressed the slow cloud adoption...

SEC Proposes Swing Pricing Mandate and Hard Close for Mutual Funds

Industry Pushes Back on SEC Swing Pricing Proposal In November, the Securities and Exchange Commission (SEC) proposed significant revisions that would require, among other reforms, the adoption of swing pricing and a “hard close” for transacting in fund shares. The proposals apply to all open-end...

Benefits of Cloud-Based Solutions for Financial Sector

Part II: Benefits of Third-Party Cloud-Based Solutions in the Financial Services Industry By Colt Younger, Delta Data, Senior Vice President, Product This is the second installment in a three-part series that explores Cloud Technology and the Financial Services Industry. In the previous entry, we addressed...

New SEC Proposal Could Shake Up Investment Industry

New Proposed SEC Rule to Impact Third-Party Providers Engaging service providers and outsourcing various functions is a routine part of running an effective business. Fund companies regularly rely on service provider relationships to fulfill various functions, including valuation, investor reporting, regulatory compliance, and trade implementation....

Cloud Solutions Gain Momentum in Financial Industry

Part I: The Past and the Potential of Cloud-Based Solutions in the Financial Services Industry  By Colt Younger, Delta Data, Senior Vice President, Product This is the first installment in a three-part series that explores Cloud Technology and the Financial Services Industry. In addition to...

Technology and Intermediary Oversight

Importance of Building a Strong Intermediary Oversight Program Oversight is one of the hottest topics in the mutual fund industry today. While the SEC sweeps have come and gone, fund boards still have a high interest in dealer oversight as well as how that oversight...

Five Steps to Prepare for Mutual Fund Dividend Season

Five Steps to Prepare for Mutual Fund Dividend Season For banks, record keepers, broker dealers, insurance companies, and financial professionals in the pooled investment fund industry, the periodic distribution events in December, as well as those scheduled through the rest of the year, can make...
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