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All posts by Delta Data Staff

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™.
ICI GMM

Delta Data to Attend and Exhibit at ICI General Membership Meeting

We’re looking forward to attending and exhibiting at ICI’s General Membership Meeting (GMM) in Washington DC May 1-3, 2019! In its 61st year, ICI’s GMM is a great opportunity to connect with other leaders in the global fund industry, as well as hear insights from their top-of-the-line speakers.

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Delta Data to Speak at NICSA’s 2019 Strategic Leadership Forum

We’re excited to announce that we will be exhibiting at NICSA’s Strategic Leadership Forum (SLF) in Ponte Verde Beach, FL April 3-5, 2019. As the must-attend event for professionals in the global asset management industry, NICSA SLF will be a great opportunity to connect with peers and hear from all perspectives, such as asset management firms, broker-dealers, and an extensive group of firms that include technology, law, and service firms that support the industry. Read more

DOL Fiduciary Rule and Impact on Advisors & Product Selection

— STAY AHEAD OF THE CHANGE —

Webinar Series

Cutting Through the Noise

DOL Fiduciary Rule and Impact on Advisors & Product Selection

On-demand webinar — 35 minutes including Q&A

Watch webinar

The DOL is requiring Brokers to act in the best interest of the client. What is the most effective and efficient way to do this with product selection?

How do you devise controls to manage the universe of securities that advisors choose from?

What are the product attributes you want your financial advisors to focus on?

In this webinar, we discuss how to leverage technology to satisfy the Advisor’s legal obligations and learn to:

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Delta Data at SPARK

Delta Data to host the SPARK Forum Monday Luncheon in Palm Beach, Florida. We hope to see you there!

 

Check out the SPARK Forum agenda.

WSJ Article on Distribution in Guise Issue

SEC Cranks Up Probe Into Fund Firms’ Fees

Inquiry centers on whether money managers are properly disclosing additional costs to investors

By Kirsten Grind

July 16, 2015 6:54 p.m. ET

U.S. securities regulators are examining whether mutual-fund managers are dipping more deeply than allowed into their investors’ money to compensate the brokerages that distribute their products, according to people familiar with the matter.

OppenheimerFunds, Franklin Templeton and J.P. Morgan Chase & Co. are among more than a dozen fund firms that have been reviewed by the Securities and Exchange Commission, which began a broad sweep of how companies sell their products about two years ago, these people said. In recent weeks the SEC’s examination unit referred some of these firms to its enforcement division, these people said. It isn’t known if the SEC will take action against any money managers. Read more