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Luxembourg Aligns Specialised Investment Funds Law with AIFMDOn 6 March 2012, the Luxembourg Parliament adopted a new bill, amending the Luxembourg law of the 13 February 2007 on Specialised Investment Funds (SIF). The Law will introduce several important changes to the regime governing SIFs and will effectively create an Alternative Investment Fund Managers Directive (AIFMD) compliant Alternative Investment Fund (AIF) vehicle, ahead of AIFMD coming into effect. The amended SIF Law introduces rules on delegation, risk management and the handling of actual or potential conflicts of interest. Authors: Brian McMahon, Rolf Bachner, Yenni Leighton
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Unlocking the Power of the Turnkey Mutual Fund PlatformReprinted with the permission of SourceMedia, Inc. The current economic and regulatory environment has proven to be challenging for asset managers. Post Sarbanes-Oxley, the industry has seen an increased demand by asset managers for solutions to help them alleviate the rising costs and increasing time to market that these new regulations bring. Many asset managers are discovering that using a turnkey platform to launch and maintain funds can be a time-saving and cost-effective solution. Author: Jay Nusblatt
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Helping Mutual Fund Clients Do More With LessThe past several years have marked a new era for the way in which mutual fund companies do business. Changes in the regulatory landscape have played a large part in this evolution, as proposed legislation has called for enhanced risk management and increased oversight of mutual funds, as well as for an increase in transparency through the use of additional disclosures and reporting. In order to be ready for the new requirements, fund companies may need to implement additional systems, which may lead to greater expenses. Author: Jay Nusblatt
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Who is Helping Your Shareholders? Teaming with the Right Business for Your Fund Company's Call Center Services.Reprinted with the permission of SourceMedia, Inc. Since the creation of the customer call center in the 1950's, customer call centers have continually evolved, primarily through the development of new technologies and process impvements alone. In the financial services industry, mutual fund companies have been at the forefront of managing this critical touch point for their shareholders and distributors. Author: Stephen Riley
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Fixed Income Strategies: Equipping Institutional Investors with Tools to Evaluate in Difficult MarketsVolatility and uncertainty in the economy and financial markets has proven challenging for asset owners and managers who maintain dedicated fixed income allocations. There is an increasing need to diversify interest rate risk without increasing the volatility of a portfolio or the total fund. In addition, investment scrutiny and analysis has become crucial to review fixed income managers and their holdings for risk of issuer default, issuer credit risk and price volatility risk. This report identifies best practices that are used to evaluate fixed income portfolios and illustrates examples of how BNY Mellon's tools help to evaluate the approaches. Authors: Paul Schmidt, Wendy McCall, Sam Oh, Darin Padur, Anil Prasad, Tim Clark, Jim Nevola
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VIDEO: Regulation's Reach - A New Day for Borrower Default IndemnificationJames Slater, Global Head of Securities Lending and Finance at BNY Mellon, explores how new and proposed regulation seems likely to change customary securities lending practices related to borrower default indemnification. Author: James Slater
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Doing More with Less: Exception-Based ProcessingReprinted with the permission of SourceMedia, Inc. Automated exception-based processing reduces time, expense and the number of resources required for reconciling and validating critical investment data. Through automation, mutual fund companies can drive up their fund accounting ratios and grow operations without increasing staffing. Author: Mark Spanos
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Doing More with Less: Fund Financial and Tax ReportingReprinted with the permission of SourceMedia, Inc. Doing more with less and reducing operational risk in the financial services industry continues to be more and more commonplace when examining systems to manage the processing and reporting of mutual funds. Investment firms continue to search for systems that can accommodate numerous functions in the most efficient manner, without losing the sophistication necessary to operate in today's complex and global fund landscape. Author: Mark Spanos
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Trends in Environmental, Social, and Governance InvestingPost the financial crisis of 2008, demand for greater transparency and closer investment monitoring has driven the sophistication of risk management and compliance programs. One area that has seen a growing focus is the screening of investments for sensitive issues; otherwise known as Socially Responsible Investing (SRI) or Environmental, Social, and Governance (ESG) screening. Fund Sponsors, recognizing that societal concerns are impacting investment decisions, are adopting ethical considerations within the investment management process in implementing SRI/ESG and risk mitigation strategies. Authors: Greg Stewart, Scott Berard, Ed Fruscella
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Risk Roundtable InterviewReprinted with the permission of The Spaulding Group, Inc. The topic of risk has grown tremendously given the recent market turmoil. The Journal of Performance Measurement gathered a distinguished group of risk professionals to participate in an interview that examines how risk is measured/managed, provides opinions on value-at-risk, and discusses what the future holds for this type of analysis. Authors: Greg Stewart, John Stahr
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