Tag: SEC modernization

What Should Fund COOs Worry About?

Given the dramatic impending changes in regulatory reporting requirements for asset management firms, their chief operating officers, administrators and compliance officials have pretty “full plates” these days. There is no shortage of reporting issues that hedge, mutual, and exchange-traded funds must address, including more extensive requirements arising from the SEC’s modernization drive, such as forms … Continued

CSS Consensus Partners with Bloomberg for SEC 22e-4 Reporting

Compliance Solutions Strategies’ Advise Technologies unit and Bloomberg today announced a joint regulatory reporting solution for mutual funds needing to comply with the liquidity risk reporting requirements stipulated by SEC 22e-4. For many open-ended funds, extracting portfolio-level liquidity data and identifying the necessary information needed for SEC reporting can present an array of operational challenges. … Continued

Mailing List