Managing disclosure language has been a critical element of Synthesis’ document automation approach for over two decades. Even with modern technology and processes, disclosures continue to be a pain point for most asset management firms. Recently, we’ve been doing research into the processes asset managers use to manage their disclosures. The goal of this research is to better understand why disclosure management continues to be problematic. Through our discussions with marketing and compliance professionals at large and small investment management firms, we’ve been digging into how firms create, edit, distribute, and retire disclosure language — and what the major issues are.Read More

In May 2017, we hosted a private roundtable, moderated by Candyce Edelen of PropelGrowth. At the table were 15 senior marketers from various investment management firms. This was our second annual event, with about half of the participants returning from last year. The participant firms included boutique asset managers, medium-sized regional and global investment firms, and 3 of the top 20 global asset managers. AUM for the firms represented ranges from $20 Billion to more than $2 Trillion. All of the participants serve multiple channels including institutional (trusts, foundations, pensions, corporations, etc.), intermediary and direct retail advisor channels.Read More

New SEC regulations like Form ADV and N-PORT are putting even more pressure on registered investment companies to examine their regulatory enterprise risk management practices. Fund Operations reported that “RICs need to embrace the mandate of the new regulatory initiatives and proactively develop, implement and maintain robust Regulatory ERM systems to comply with…reporting obligations.”

As regulators continue to amp-up their scrutiny, many asset managers are taking a hard look at how they’re managing disclosures. Read More