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A Clear Case for ChangeReprinted with the permission of Financial-i The move to central clearing for OTC derivatives is causing consternation, especially amongst fund managers, and many foresee changes in investor behaviour to avoid charges when the new regulations come into force. This article was first published in Financial-i Q2 2011. www.financial-i.com. Authors: Jonathan Bowler, Christopher Coleman
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ETFs 2.0: The Next Wave of Growth and Opportunity in the U.S. ETF MarketExchange Traded Funds (ETFs) in the U.S. have never been more popular, and while the market has never before been so crowded, it is also ripe with potential for firms willing to innovate. This report looks at the state of the nascent ETF market and the reasons behind its boom in recent years. It explains why ETFs are entering the mainstream, how they are redefining investment management and how asset managers can still tap the vigorous growth of this industry with products that are passive, active, or somewhere in between. Author: Joe Keenan
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Tax-Transparent Investing Via Common Contractual FundsReprinted with the permission of IndexUniverse LLC Asset pooling allows investors to pool their assets in order to co-invest. It is used by investment companies to offer investors of varying scale access to specialised investment products. This article outlines the benefits available to institutional investors who choose to invest their assets via a tax-transparent pooling structure such as the Irish Common Contractual Fund (CCF). Properly establishing the infrastructure to support a CCF requires a degree of effort, but the benefits make it worthwhile. In collaboration with Shawn Travis and Mark Cerimele of The Vanguard Group, Inc. Author: Kerry White
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European Securities Settlement: Steps Toward HarmonizationThe evolution of the European Union (EU) has meant rapid integration across its member nations to form a more cohesive governance model. Much of this transformation has occurred in the financial markets, from the creation of the European Central Bank to the adoption of a common currency. As a way to bring about further harmonization among its various financial markets, European leaders have agreed that a uniform schedule must be implemented for trade settlement across the different EU nations. Author: Jim Cecere
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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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Exploring the Possibilities of SubaccountingReprinted with the permission of Institutional Investor News Today more than 150 million mutual fund accounts are cleared through the use of subaccounting -- up more than 600% over the past 10 years. Subaccounting has grown to be the preferred method of clearing mutual fund accounts. allowing broker-dealers to aggregate more of their clients' accounts, Opportunities abound as new ways of using this aggregated data are developed into effective tools, helping broker-dealers distribute funds to their clients, and helping fund companies manage assets efficiently. Author: Elisa Colkitt
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Fast LearnerReprinted with the permission of International Custody & Fund Administration, icfamagazine.com When Dan Wywoda walked into the human resources department of the Boston Company in pursuit of a job in 1989, little did he anticipate his career to be where it is today. Fast-forward 22 years and Wywoda is now head of global product management for BNY Mellon Asset Servicing. Learn more about Dan's career in this icfamagazine interview. Author: Daniel Wywoda
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International Financial Reporting Standards -- Are You Getting Ready for IFRS 9?The changes to accounting standards for financial instruments in IFRS 9 will have significant system and operations implications for organizations. The objective of this paper is to provide an overview of recent changes so that companies can gain a better understanding of the new and potential requirements and how their operations may be impacted. Author: Steve Burrows
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Key Elements of CCO Oversight of Service ProvidersReprinted with the permission of Institutional Investor News Rule 38a-1 under the Investment Company Act of 1940 requires that investment companies adopt comprehensive compliance programs including written policies and procedures and designation of a chief compliance officer (CCO). For fund clients that have limited resources or choose not to build the infrastructure needed to comply with all requirements of Rule 38a-1, service providers can fulfill an important function -- providing CCOs with the necessary tools, information and insights to meet their oversight obligations. Author: Martha Fox
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VIDEO: Exchange Traded Funds - Catalyst for Change and GrowthExchange traded funds have proven to be a catalyst for rapid change in the investment landscape. Joe Keenan, Head of Global ETF Services for BNY Mellon Asset Servicing, discusses the exponential growth of this important investment tool, which trades like a stock, but contains numerous asset types. Joe cites three key reasons we expect continued growth of ETFs: new market entrants, product innovation and geographic expansion. Author: Joe Keenan
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