About The Author

Ken Larsen

About Ken Larsen

Ken is a Vice President at Boston Financial with responsibility for the strategy of the Financial Intermediary Administration (FIA) products and services. These offerings include a suite of tools designed to assist broker-dealer distributed fund companies in the oversight and servicing of their third-party relationships. The FIA team provides fund companies with innovative solutions and support to their financial intermediary, trust, and retirement business relationships. Ken's career in the transfer agent business spans the U.S., U.K., and European marketplaces. He began his career at Fidelity Investments in Boston. For the last 24 years, he has worked for several third-party transfer agents including Boston Financial, IFDS (UK), and State Street Bank Luxembourg in operational, management, relationship and product development roles. Ken received his Bachelor of Science degree from Providence College.

Category: Financial Intermediary Administration, Industry Trends

Financial Intermediary Oversight: Progress, Challenges and Opportunities

In recent years, our industry has faced two constants – volatile markets and active regulators. While the equity markets are now up year-to-date, it has been a bumpy ride along…

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Category: Compliance, Financial Intermediary Administration, Transfer Agency

SEC Guidance on Distribution Fees: A Closer Look

In March 2015, our post on intermediary fees included three suggested actions for fund companies to take to avoid potential enforcement actions. They were: The board first needs to set…

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Category: Financial Intermediary Administration

Financial Intermediary Oversight: What the industry is focused on in 2015

Identifying trends and gaining industry insight are key factors in helping Boston Financial continue to evolve and better service our clients. One of the ways we do this is through…

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Category: Financial Intermediary Administration

Achieving Intermediary Fee Transparency

The SEC has conducted several sweeps to gather information for determining whether payments to financial intermediaries were for shareholder servicing and recordkeeping or for distribution, often called “distribution in guise”.…

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Category: Transfer Agency

Forty Years Ago Today

Forty years ago today, on August 5, 1974, I began my career in the mutual fund industry when I started work at the transfer agent for a fund company. As…

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