SEC’s Proposed Changes to Form ADV: Time for RIAs to Prepare?

Good article in Institutional Investor regarding upcoming changes to form ADV. Among the salient points are that RIAs need to take stock of their reporting tech and also modify their systems to capture information in a way they haven’t captured before and also that compliance requests will probably involve third parties like custodians and market […]

Data Governance Needed for Effective Compliance

Interesting article in FundFire recently regarding compliance.   Apparently, there is between a 25% and 40% rate of error in the coding of compliance rules within the typical investment management firm.   If true, this is indeed a “shocking” statistic as the title of the article effectively conveys.  In delving deeper into the article, however, it seems […]

The Concept of “Wide Data” and How it Directly Applies to the Typical Investment Manager

“True insight lies at the intersection of different data sets.” Great article last week on networkworld discussing the concept of “Wide Data” as opposed to Big Data. What’s the difference?   Unlike “Big” Data, “Wide” Data applies to the typical organization that is more often concerned with tying together data from disparate sources, often a wide […]