Category: Compliance

Managing Fund Compliance Across the Distribution Chain


The word compliance - 461931375Earlier this month, the SEC publicly announced its 2014 Exam Priorities. This information, along with ongoing attention by the SEC on enforcement and an aggressive approach by individual states in the abandoned property space, continue to make Compliance and Oversight key focus areas for all fund companies. Craig Hollis and Mike McNeill take the opportunity to discuss how transfer agents can help fund companies better position themselves for this increased SEC and state-level activity.

Read the article here.

Ken Larsen

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.


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