Best Practices and Customized Reports
These reports focus on a range of critical areas from common practice within the industry to regulatory and operational issues. Published reports include Marketing Timing / Fair Value Pricing, Compliance Best Practices in response to Rules 38(a)-1 and 206(4)-7, and Rule 22c-2 Solutions Review.
Some projects may not be sold as publications but are sponsored by an individual firm; copies of the results are provided to participants in acknowledgement of their contributions.
Foreign Exchange Report 2011
Foreign Exchange Report 2011 (New)
Foreign Exchange trading has long been a common activity in the mutual fund industry. Now, due to a number of recent lawsuits, FX trading has moved to center stage. This new research examines the FX market from an operations and technology perspective, reflecting the practices, approaches and offerings of market participants including FX traders, investment managers, technology/ system providers and custodians.
Best Practices: How Investment Firms Evaluate Middle Office Outsourcing
Best Practices: How Investment Firms Evaluate Middle Office Outsourcing
When investment firms evaluate their Middle Office technology, they are increasingly including outsourcing as a viable option. This research reports on 'best practices’ for evaluating both systems and outsourcing solutions, through interviews with 13 institutional managers who evaluated their Middle Office in the past five years and included an outsourcing option.
Evaluating the Next Generation Transfer Agency Environment
Evaluating the Next Generation Transfer Agency Environment (Recent)
Barrington Partners has produced this research report on the maturation of, and emerging developments in, the transfer agency industry. This report, the first in a series, is offered free of charge by its sponsor, Oracle Financial Services, as a thought leadership initiative for its Transfer Agency and Investor Servicing Solutions. Our objective is to detail the evolution of transfer agency processing and provide a projection regarding the future role of transfer agency in support of the global investment management marketplace.
Examining Intermediary Fee Payments 2011
Examining Intermediary Fee Payments 2011
Intermediary fees are a very complex mix of payments to distributors both for distribution and for servicing of sub-accounts that are supported at the distributor level. This research examines the variety and complexity of intermediary fees, distribution channels, rates of payments, and other issues about this important topic.
Rule 22c-2 Solutions Review 2007
Rule 22c-2 Solutions Review 2007
An overview of the major issues and legislative environment surrounding Rule 22c-2. The Review provides clear perspectives of industry practitioners through interviews with leading third party system providers. Findings are summarized to provide a unique and practical perspective on the Redemption Fee issues associated with Rule 22c-2.
Compliance Best Practices Review 2005
Compliance Best Practices Review 2005
Published in September 2005, the report provides insight into how 12 asset management firms are meeting the challenges of the new regulatory environment. The Review covers CCO responsibilities, technology utilized and a summary of interview findings.
Best Practices: Market Timing and Fair Value Pricing
Best Practices: Market Timing and Fair Value Pricing
The 'Best Practices’ Review consists of an overview of the major issues surrounding market timing and fair value pricing. The Review looks at solutions from a fund accounting and transfer agent perspective.