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

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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Category: CCO Forum, Compliance

Hot Topics of the 2014 CCO Forum

Unclaimed property. Blue Sky administration. Information security. You don’t have to be a compliance guru to know these terms. They represent some of the key regulatory initiatives impacting the financial…

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Category: CCO Forum, Compliance

Looking Back on 10 Years of the CCO Forum

What were you doing 10 years ago? 10 years ago you were probably sporting a flip phone. Or maybe you were cutting edge and had a camera phone. Ten years…

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Category: Compliance, Industry Trends

4 Things to Have on Your Compliance Radar in 2014

This is the third of five blog posts in our industry trends series. In this series we will look at the top five key trends driving the fund industry in…

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Category: Blue Sky, Compliance

Helping Part the Clouds for Blue Sky Compliance

Boston Financial expands our compliance offering When most people hear the words “Blue Sky”, they think of sunny days and have a feeling of freedom and clarity. That’s not likely…

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