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Resources

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

Distribution Oversight Whitepaper

Our Distribution Oversight Whitepaper is a thought piece authored by Whitfield Athey, CEO and Burton Keller, EVP, of Delta Data, that illustrates core principles to consider when designing, evaluating or upgrading an oversight program.

Please note that redistribution requires Delta Data’s written permission.

Click here and complete a simple form to download the whitepaper.