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Monthly Archives: June 2015

Explanation of Industry Issue Around Sales Charge Waivers & Share Class Eligibility

There are two issues the broker dealers are faced with that have caused these fines and rebates to customers as outlined in the article below. Most of the fines/rebates are around B/Ds selling A shares to retirement plans and charitable accounts in which they stated in their prospectus that they would waive those fees. Read more

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™.

Good Article on Need for Custom TDFs

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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™.

US T+2 steering committee looks to shorter settlement cycles by 2017

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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™.

Overview of Distribution in Guise Issue

A recent Ignites article highlighted the imminent enforcement from the SEC on “distribution in guise”. This is a complex topic our clients are faced with. Our current clients are using the insight from our analytics suite coupled with the automated expense allocation execution our Fee Management platform to solve this complex issue. We prepared this overview of the issue to provide insight for our clients on how these issues can be tackled regardless of technical platform and compliance with distribution rules can be obtained in the current complex fee marketplace.  Read more

Whitfield Athey
Whitfield Athey is CEO of Delta Data Software. His role at Delta Data is focused on growth of the product base, satisfaction of clients and scalability of the organization.