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 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...

Fee Management Too Crucial to Rely on Inefficient Manual Processes By Jason Davenport, Delta Data  Intermediary fee payments are one of the top expenses in the mutual fund industry, accounting for as much as 40 percent of a firm’s total annual expenses. The complexity and...

Open Letter to the SEC: Please Stop the Swing Pricing Proposal By Burton Keller, Advisor Emeritus, Delta Data  Oh, how we “strain after gnats, and swallow the camel.” Swing pricing…again. Let us just take a moment and go back in time. Remember in 2016, when...

Top Takeaways from 2022 ICI Tech Summit Delta Data attended and exhibited at the inaugural Investment Company Institute (ICI) Tech Summit in Dallas, Texas November 8-9, 2022, which explored the current and emerging technologies across all aspects of asset management while providing an excellent opportunity...

Dividend Calendar Tools Help Pooled Investment Industry Navigate Tsunami of December Distribution Events Dividend payouts can quickly snowball, creating a perfect storm of events that create opportunities for missed distribution events and make employee time allocation difficult, especially during December and the holiday season. For...

Delta Data is set to attend and exhibit at the Investment Company Institute’s (ICI) Tech Summit in Dallas, Texas November 8-9, 2022. This will be the first-ever ICI event for leaders and professionals in financial technology, and Delta Data looks forward to being part of...

There is a saying that information is power, which is why big data has become such an important part of the financial world. That includes the mutual fund industry, where having access to real-time investment data can provide distributors with a major competitive advantage.  While...

By Colt Younger, Senior Vice President, Product Industrywide, investment management firms are starting to pull back on risky or discretionary spending. Many are also starting to tap the brakes on hiring, with plans to even keep some open roles unfilled. A lot of institutions today...

Technology increasingly influences everyday life and business operations. It is always evolving, creating more efficient processes, offering new capabilities, and opening doors to new ways to fundamentally do business. The additional future costs and loss of flexibility that a company sustains resulting from a depreciating...

The investment management industry has seen several key changes in the past few years, with one of the most notable trends being regulator-driven changes in the mutual funds industry. Some of the significant shakeups that have sent firms scrambling have been the SEC modernization rules...

Last month, as part of an ongoing commitment to increase customer communication, Delta Data hosted a Mid-Year Update virtual user conference to update clients on all the recent organizational changes and to discuss what lies ahead for the leader in the mutual fund pool asset...

  “The Great Resignation” is the préoccuper de jour for the financial industry and one of the leading conversations at this year’s NICSA Strategic Leadership Summit. Industry observations take on real meaning when they migrate from the media and land on a company’s doorstep. Recently,...

Bi-weekly conversations on important issues for the pooled investment industry. https://www.youtube.com/embed/7JKmNoYlOgo  

Bi-weekly conversations on important issues for the pooled investment industry. https://www.youtube.com/embed/OrLtdM5bs_w  

Tate Rupprecht, PGIM Investments, and Brad Smith, American Funds discuss Share Class Portability Recently Delta Data conducted its sixth annual customer roundtable, bringing in over 40 pundits and experts from the financial industry for a series of conversations covering various subjects from regulations of managing...

If the word out of Washington is any indication of the weather, we’re in for a stormy time, with a one-eyed skipper looking for the horizon. Recently Congress proposed taxing of in-kind exchanges inside of ETFs to help fund their 3.5T budget package. Online publication...

Bi-weekly conversations on important issues for the pooled investment industry. https://www.youtube.com/embed/CUKrDmMS9Aw  

John Randall, ICI update Recently Delta Data conducted its sixth annual customer roundtable, bringing in more than 40 pundits and experts from the financial industry for a series of conversations covering a range of subjects, from regulations to managing COVID-19. Participants included representatives from the...

Recently FT Wealth ran an article titled “America’s Rich Have Another Reason to Quit Mutual Funds,” which got me to rethink the whole “revolutionary” concept of selecting ETFs over Mutual Funds for a myriad of reasons, with most roads leading to the IRS.  The thesis...

Delta Data has hosted a CIT forum for several years and charted the growth of the industry as it has accelerated in relation to mutual funds, most recently at our annual event, Activate 2020. We selected the name because we felt it was time to...

Collective Investment Trusts may seem similar to mutual funds, but they are inherently different in many important respects. While mutual funds allow a broad spectrum of account holders to trade in their funds; (retail, qualified, and non-qualified retirement plans, charitable organizations, trusts, etc.), CITs are...

Whitfield Athey joined Gauri Sharma, VP Professional Certifications - ABA, in an exclusive podcast to discuss account transfers. In this video, you will learn the answers to the following questions: What have been the barriers to adopting automated processes in the past? What are the...

Whitfield Athey, CEO and technology architect for Delta Data, joined NICSA during a pop-up session to discuss International Dealer Oversight. In this video, you will learn the following: Not only can you run your domestic oversight program in our platform, but now standardize your International...

Steve Levitt Ph.D. (Freakonomics) and Whitfield Athey, CEO, Delta Data, discuss the changing role of the economist in financial forecasting during times of social, economic, and cultural turmoil. 

Delta Data and a panel of industry experts take a deep dive into the challenges and opportunities related to market modeling programs. From coordinating inputs to tracking multiple base scenarios, to comparing outcomes versus models for ongoing forecasting improvement, learn how to streamline your sales...

Stripping the Labels - companies are moving boldly into digitization   Four seasoned members of the asset management community shared a common battle cry at the 2020 NICSA GMM panel “Stripping the Labels”: the COVID WFH scenario has turned digitization from a backroom discussion to...

Work from Home and the Changing Perception of Wall Street In our last post, we shared highlights from our annual 2020 roundtable. Make sure to check that out if you missed it. The final discussion involved business process execution in the age of dislocation and...

Oversight Management Delta Data’s fifth annual industry roundtable, our first large scale virtual event, brought together an assemblage of over 60 asset managers including five of the top 10 largest mutual funds complexes in the United States for a candid conversation on the current state...

Over the years, we have all planned for the things that go bump in the night that might interrupt our daily business functions or our ability to deliver a service. Plans range from the foreseeable, a server crashing, to the not so foreseeable, a worldwide...