About The Author

Craig Hollis

About Craig Hollis

Craig joined Boston Financial in July of 2004. Craig has 32 years of mutual fund transfer agency experience in which time he has been responsible for managing numerous operational and support groups including: financial control, transfer agent and blue sky compliance, tax reporting and withholding, intermediary compensation, transaction processing and offshore distribution and servicing. Craig is currently responsible for the regulatory oversight of Boston Financial’s Transfer Agent activities as well as all operational aspects of Boston Financial’s compliance program including a 22c-2 full service solution and Blue Sky administrative services. Additionally, Craig represents Boston Financial in periodic Regulatory Compliance Advisory Group Sessions (RCAG) and is active in the industry, serving on the ICI Transfer Agent Advisory Committee, ICI Abandoned Property Task Force, ICI State Related Issues Working Group, ICI subcommittee on Money Market Reform (Institutional vs. Retail), NICSA Compliance Risk Committee, the Securities Transfer Association and has been a speaker at numerous industry events.

Category: Compliance, Creating Future Value, Industry Trends, Smart Sourcing

To Do or Not to Do: Executing the Decision to Outsource Compliance Operations

This blog post is the second in a three-part series about outsourcing compliance operations in today’s complicated financial services environment. Disruption seems to be the buzzword sweeping the financial services conference…

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Category: Compliance, Creating Future Value, Industry Trends, Smart Sourcing

To Do or Not To Do: Making the Decision to Outsource Compliance Operations

This blog post is the first in a three-part series about outsourcing compliance operations in today’s complicated financial services environment. This post was adapted from a discussion presented at DST’s…

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Category: Blue Sky, Compliance, Industry Trends

Unintended Consequences: Impact of DOL Fiduciary Rule Preparations on 22c-2 and Blue Sky

Preparations for initial compliance with the DOL Fiduciary Rule are complicated by a compressed timeline and the uncertainty wrought by a proposed 60-day delay and 15-day public comment period. The…

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Category: Compliance, Transfer Agency

Clearing Through the Clutter: Preparing to Meet Your Transfer Agent Needs under the DOL Fiduciary Rule

This material is intended for informational and discussion purposes only and it not a legal opinion or analysis and cannot be relied upon as authoritative. Matters discussed in this article…

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Category: Compliance, Creating Future Value, Industry Trends

Prepared for Whatever Comes Next: Creating future value in compliance programs

Thought leadership is more than marketing jargon at Boston Financial. For us, thought leadership tells the story of what we think about changes in the industry, and what we are…

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