Another Variation About the SEC Sweep
Our staff writers work with Delta Data executives and industry experts to bring you news, trends and insight on the mutual funds industry, particularly issues, regulation, and technology in regard to fund oversight and distribution. Delta Data provides the back-end solutions that companies use to process billions of dollars of transactions and stay ahead of the change™.
SEC Distribution in Guise Sweep
Our staff writers work with Delta Data executives and industry experts to bring you news, trends and insight on the mutual funds industry, particularly issues, regulation, and technology in regard to fund oversight and distribution. Delta Data provides the back-end solutions that companies use to process billions of dollars of transactions and stay ahead of the change™.
Distribution in Guise’ Enforcement Actions in Works: SEC
In case you missed this article in today’s issue of Ignites. Looks like what they examined in the “Distribution in Guise” sweep will be covered now in regular exams of funds. This should take it down stream to some of the smaller funds as the sweep probably just hit the big fund companies. Read more
L. Burton Keller was a principal founder of the company in 1985 and currently focuses on strategic initiatives for the company. Mr. Keller is a former member of the Bank, Trust and Retirement Advisory Committee of the Investment Company Institute. He has served on numerous committees and task force groups with the ICI over the last 17 years including Co-chair of the Dividend Distribution Task Force.
Thoughts on CITs
Our staff writers work with Delta Data executives and industry experts to bring you news, trends and insight on the mutual funds industry, particularly issues, regulation, and technology in regard to fund oversight and distribution. Delta Data provides the back-end solutions that companies use to process billions of dollars of transactions and stay ahead of the change™.
DTCC unveils mutual fund data tool
Our staff writers work with Delta Data executives and industry experts to bring you news, trends and insight on the mutual funds industry, particularly issues, regulation, and technology in regard to fund oversight and distribution. Delta Data provides the back-end solutions that companies use to process billions of dollars of transactions and stay ahead of the change™.
