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首页> 外文期刊>Journal of Investment Compliance >Share-class suitability: taking the guesswork out of mutual fund remediation
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Share-class suitability: taking the guesswork out of mutual fund remediation

机译：股份类别适合性：消除共同基金补救措施中的猜测

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摘要

Purpose – This paper aims to provide a practitioner's view on the key areas broker-dealers need to evaluate while undergoing a mutual fund remediation exercise. Design/methodology/approach – This article is based on the experiences of the author while working with various broker dealers in this area. Findings – The takeaways are categorized in four sections. These are: assessing data availability and quality; defining remediation process and selecting associated algorithms; analyzing key business rules, and creating and managing an automated rules-based engine. Each section details issues that need to be considered and analyzed, options available and the impact of such options. Practical implications – Tackling the areas identified in the article can help firms in streamlining the process, making it predictable, consistent, transparent and auditable. It also helps in reducing the recurrence of these issues and provides a clear basis for other remediation exercises like NAV Transfers, breakpoint accuracy and market timing. Originality/value – While there are several publications that explain the underlying problem, there is limited literature that details the issues and road-blocks confronting organizations that need to undertake such an initiative. The paper addresses this gap and gives compliance professionals a checklist to ensure a smooth remediation process.
机译：目的–本文旨在为从业者提供经纪人交易者在进行共同基金补救活动时需要评估的关键领域的观点。设计/方法/方法-本文基于作者与该领域的各种经纪人合作时的经验。调查结果–外卖活动分为四个部分。它们是：评估数据的可用性和质量；定义补救过程并选择相关的算法；分析关键业务规则，以及创建和管理基于规则的自动化引擎。每个部分详细介绍了需要考虑和分析的问题，可用的选项以及此类选项的影响。实际意义–解决本文中确定的领域可以帮助公司简化流程，使其可预测，一致，透明和可审核。它还有助于减少这些问题的再次发生，并为其他补救措施（例如资产净值转移，断点准确性和市场时机）提供明确的基础。原创性/价值-尽管有几本出版物解释了潜在的问题，但很少有文献详细介绍需要采取这种主动行动的组织所面临的问题和障碍。该文件解决了这一差距，并向合规专业人员提供了一份清单，以确保顺利进行补救过程。

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