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Tag Archives: FICCA

Unlocking Value of Mutual Fund Intermediary Transparency in 2019

Chief Compliance Officers (CCOs) certainly had a lot on their plates in 2018 – from MiFID II and GDPR to considerations around the DOL Fiduciary Rule and Liquidity Rule, there have been many pieces of regulation that have captured their attention and pushed them to implement new operational and technological structures to comply. I had the opportunity to share some of my thoughts from Delta Data’s perspective with Ignites for a recent article. The following is a summary of some of those thoughts, which centered on the importance of transparency data in intermediary distribution of Mutual Funds. Read more