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In the case of mutual funds, the compliance levels are so stringent and explicit that identifying irregularities or certain wrongdoing is all about following protocols that are already in place. https://lnkd.in/gEeWwgM6

Mutual Fund Trustee A mutual fund trustee is an independent entity that manages the money and assets of a mutual fund on behalf of investors. Trustees are also known as the fund's protectors and are responsible for ensuring that the interests of investors are protected and that SEBI regulations are followed. The trustees will ensure that the funds are actually managed in the interests of the shareholders. While the trustees will not get into the day to day management of the funds, they will set broad guidelines and compliance check points to ensure that the interests of the small investors are protected. Trustees are usually appointed by the fund sponsor and can be individuals, companies, banks, or members of the board of directors. They are accountable to investors and are trusted to make decisions in the investors' best interest. #mutualfund #mutualfunds #2 #trustee #investment

U.S. T+1: Assess the Downstream Impacts of Split Investor Settlement One purported solution to the liquidity mismatch between UCITS fund cycles and US securities cycles is the bifurcation of subscription and redemption cycles - however you must be sure that having different timeline for your subs & reds is operationally viable for your distributor and platform partners. Killian Lonergan flags one such important example here with NSCC which is an important channel for many UCITS funds particularly into the LatAm market. T+1 is multi faceted and BBH are here to discuss the details as required. Continue to reach out to us for support. #UST1 #Tplus1 #distribution #UCITS #NSCC #bbh #distributionintelligence #BBHInsightsExchange #TA Laura Murray Karen Jackson Rachel A. Fahey Ben Szymanski John Simon Sinead McIntosh Holly Gardner, CFA James Dalton Sarah Teh Bevin Wallace Janet Du Chenne

The Financial Industry Regulatory Authority alleges various charges against D. Allen Blankenship, including unsuitable mutual fund trading on behalf of customers without approval from his supervisors or customers. #brokerdealer #brokerage #FinancialIndustryRegulatoryAuthority #financialservices #FINRA #RIA

#MutualFundandETFMasterclass Struggling to grasp the nuances of various mutual funds? Allow us to simplify it for you. In our guide, we've likened different types of mutual funds to well-known characters, making it easier for you to remember and understand. Found this useful? Save it for future reference or share it with someone who might find it useful. #financialplanningzarurihai #personalfinance #financialplanning #etf #mutualfunds

Exicted to share that I've successfully completed the NISM - Mutual Fund Distributor Exam!🎓 Equipped with in-depth knowledge in mutual funds, ready to navigate the financial landscape. #nism #mutualfunddistributor #achievement #finance

What assets can you hold in a Self Managed Super Fund (SMSF)? Delve into the details in Part 4 of our SMSF series. Talk to us today: https://lnkd.in/gAMMswN6

#1MinuteRead Spread Knowledge Depository and Custody °°°°°°°°°°°°°°°° Depositories and custodians play distinct roles in financial markets. A depository, like the Depository Trust Company (DTC), holds and transfers securities electronically, focusing on settlement, safekeeping, and corporate actions. In contrast, a custodian, such as Bank of New York, provides broader services, including safekeeping, settlement, tax support, and fund administration for institutional investors like mutual funds and pension funds. While depositories work with brokers and financial institutions, custodians cater to the comprehensive asset management needs of institutional clients.

If you feel , Mutual Funds have a very low threshold of hardly Rs 500, but their returns are nominal, while PMS/ AIF are great products but their threshold at 50 lakhs and 1 Crores is out of the middle class reach, is there not a solution in between that bridges these two segments...If that is your question the answer lies in the video...let me know your thoughts.... #mutualfundssahihai https://lnkd.in/gqSzHhc7

Exchange-Traded Funds (ETFs) continue to grow in popularity, but with growth comes responsibility. Are you up to date on the latest legal and compliance challenges? From marketing requirements to disclosure obligations, our latest blog provides a comprehensive look at the ETF regulatory landscape. 📖 Explore the blog https://hubs.ly/Q02LYX950, and let’s discuss the steps your firm is taking to navigate these critical issues. #ETFs #fundcompliance #assetmanagement #ACAinsights