Tag Archives: investment management

Trade Matching in the Traditional and Alternative Markets

Pressures from investors and regulators are accelerating the pace of convergence in traditional and alternative asset management organizations and improving standards of practice. At present, in the traditional asset management arena, managers’ and brokers’ records are generally compared on a trade-by-trade basis and custodians are authorized by the managers to settle matched transactions. In theContinue reading “Trade Matching in the Traditional and Alternative Markets”

Verifying the Verifier

How does one go about selecting a firm to verify their claim of compliance with the Global Investment Performance Standards? Stone House Consulting partners Philip Lawton and Holly Miller discussed this topic during a recent webinar hosted by FTF News held on March 16th. Highlights from the webinar were covered in an article by SecuritiesContinue reading “Verifying the Verifier”

Overview of the Global Investment Performance Standards

CFA Institute has made this copyrighted paper, used in the 2011 CFA™ and CIPM® curricula, available gratis to all. Written by Stone House Consulting partner, Philip Lawton, the reading presents the requirements and recommendations of the 2010 version of the GIPS® standards and explains the rationale and application of specific provisions, with particular attention toContinue reading “Overview of the Global Investment Performance Standards”

Managing the Increased Risks Associated with Outsourcing

Stone House Consulting provides 15 practical suggestions for managing the increased risks that may be introduced by outsourcing.  This slideshow was presented on Wednesday, 2 March 2011 at the 5th Annual OpRisk Conference in New York by Holly Miller, founding partner of Stone House Consulting.

Corporate Governance and Operational Risk

In her opening remarks as chair of the 5th Annual OpRisk Conference in NYC today, Stone House Consulting founding partner, Holly Miller, discusses the link between corporate governance and operational risk.  

Stone House Consulting Releases its First Book–THE TOP TEN OPERATIONAL RISKS: A SURVIVAL GUIDE FOR INVESTMENT MANAGEMENT FIRMS AND HEDGE FUNDS

Press Contacts: Deborah Eisenberg / Matthew Chisum Cognito +1.415.946.8820 stonehouse@cognitomedia.com Advanced Praise Offered by Leading Industry Executives including Bruce J. Feibel, CFA, Managing Director, BNY Mellon and Bill Bogle, Partner and Chief Compliance Officer, NEPC LLC Available Now in Paperback and Electronically via Amazon Kindle Thornton, Penn. – December 13, 2010 – Stone House Consulting, LLC,Continue reading “Stone House Consulting Releases its First Book–THE TOP TEN OPERATIONAL RISKS: A SURVIVAL GUIDE FOR INVESTMENT MANAGEMENT FIRMS AND HEDGE FUNDS”

Operational Risk #10: Reading the Fine Print—Know Thy Legal Entities

We’re sorry—the article you are looking for is no longer available on our website.  However, it is included in our book, The Top Ten Operational Risks: A Survival Guide for Investment Management Firms and Hedge Funds.  Purchase your paperback copy or Kindle version!

Survey on Operational Risk, Investor Communication and Requirements

Investors’ demands for transparency and concerns about operational risk have risen over the last several years.  Is the post-meltdown focus on due diligence in selecting managers and greater demand for specific information a lasting change or just a temporary phenomenon? Stone House Consulting, in conjunction with Infonic AG (the makers of HedgeSphere), is conducting aContinue reading “Survey on Operational Risk, Investor Communication and Requirements”

Operational Risk #9: Poor Planning and Slow Response Times—Changes in the Firm, the Marketplace and the Regulatory Environment

We’re sorry—the article you are looking for is no longer available on our website.  However, it is included in our book, The Top Ten Operational Risks: A Survival Guide for Investment Management Firms and Hedge Funds.  Purchase your paperback copy or Kindle version!