Guest Contributor: Chuck Callan, Sr. Vice President, Corporate Affairs, Broadridge Financial Solutions, Inc. Senior executives of financial services firms are demanding that information security and data protection strategies advance beyond their traditional limits. Their charge: to broaden the scope to include inter-organizational measures that protect information shared with vendors, partners and customers. This broader perspective
Cloud
RIAs: Moving on up – to the Cloud Part II
To read part one of this guest contribution please click here. Guest Contributor: Andrew Peddar, North American CEO of StatPro Creating a bright future Investors are anticipating growth as the shockwave of the Great Recession settles. Cloud-based technology is well-positioned to handle RIAs ambitions because it provides productivity gains – the service can be accessed at
Cloud
RIAs: Moving on up – to the Cloud Part I
Guest Contributor: Andrew Peddar, North American CEO, StatPro Registered Investment Advisors (RIAs) have long relied on one of two choices for portfolio analytics and reporting: enterprise wide technologies and services or niche technologies. While enterprise technologies are packaged with lots of functionality, the functionality often doesn’t meet the granular needs of the advisor and lack
Back-Office
The Role of Big Data Analytics – Living in a 2.0 World
Guest Contributer: Andrew Ettinger, Director, Sales, Greenplum Let’s face it, we live in a different world today. I am sitting here on my Mac computer, with my iPhone out, my iPad is in my briefcase, I am answering email on both my phone and computer, I am surfing the web from paying a credit card
Guest Blog
The Fiduciary Kerfuffle
Guest Contributor: Philip Lawton , Analyst, Aite Group Taxes, entitlements, and the national debt limit are not the only controversial topics in Washington this summer. The Securities and Exchange Commission’s proposal to apply a uniform fiduciary standard to investment advisers and broker-dealers alike has created a ruckus in the retail investment industry. The Securities Industry
Corporate Actions
Pressing Cost Basis Challenges Deserve Close Attention of Mutual Fund Companies
Guest Contributor: Stevie D. Conlon, senior director and tax counsel, Wolters Kluwer Financial Services With the cost basis reporting law’s next effective date less than six months away, mutual fund companies must closely consider risks and challenges that might result in non-compliance and serious customer service issues. First and foremost, mutual fund companies that provide
Guest Blog
Meeting the Middle Office ‘Data Crunch’
Guest Contributor: Graeme Condie, Data Management & Analytics Solutions Management, DST Global Solutions Asset Managers face numerous business challenges in today’s environment of increased competitiveness, desire for greater transparency and need for regulatory vigilance. One of the areas of the business most impacted by all of this is the Middle Office – indeed,
Corporate Actions
Corporate Actions: The Way Forward
Guest Contributor: Chris Kotsifas, Founder of STP Consulting Solutions, LLC In the aftermath of the recent financial crisis, there’s a renewed emphasis in operational transparency and risk reduction. This has led many to look into their organizations and revisit problematic areas namely corporate actions processing and reference data which have typically been pushed aside for
Dodd-Frank
Focusing Only on Dodd-Frank? Then You Might Be Missing Something
Guest Contributor: Mary Todd, Cosgrove Law LLC Because the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 reform bill grabs headlines every day, other regulations are entering the scene almost undetected. Broker-dealers and registered investment advisors may not be fully aware of new upcoming regulations, which could have significant impact their business. The
Guest Blog
Too close to call?
Guest Contributor: Steve Grob, Director of Group Strategy, Fidessa This week is supposed to be crunch time in Canada as investors in the TMX Group vote either to throw their lot in with the London Stock Exchange or retrench within their national borders and develop as the Maple Group. An article in the Financial Times today questioned whether either deal
