News & Research

Back in June of 2018, the Securities and Exchange Commission (SEC) started to require large registered investment companies to report their monthly position holdings under Form N-PORT, but now it’s time for smaller companies to follow suit.

December 2018, the SEC released its examination priorities for 2019, which are issued annually and intended to “promote transparency of its examination program and provide insights into the areas it believes present potentially heightened risk to investors or the integrity of the U.S. capital markets.”

Innovation, collaboration and factor indices. This week’s news optimizes all three, with S&P Dow Jones Indices announcing plans to develop new strategies across the smart beta and ESG space, powered by Axioma.

US and European stocks posted modest gains in September, helping the STOXX® Global 1800 Index wrap up its best calendar quarter this year. Japanese shares recorded their strongest month in 11, reportedly amid foreign investors’ inflows.

What caused the financial crisis? Does anyone actually know? Was it lack of regulation or de-regulation? Or, was it lack of understanding of the significance and the complexity of the securitisation markets?

The SEC is at long last signaling the final landing approach for Form N-Port. After pushback from the Mutual Fund industry, the SEC opened a Commentary period that ended in May 2018.

The European Commission found that retail investors will often enter into investments without fully comprehending the associated costs and risks.

This post was written by Philip Stinson, a London-based analyst in Axioma’s Reporting Solutions team. He is primarily responsible for completing periodic filings and servicing clients globally.