The SEC OCIE’s most recent Risk Alert noted that several firms are assessing fees based on incorrect or misstated valuations and non-compliance, leading to higher-than-expected fees for clients. The SEC’s findings prove the need for a robust and defensible internal pricing policy that can ensure full oversight of fund allocations that work in compliance with fund offering documents.

IVP Webinar Agenda

Explore how funds can effectively store prices, price parameters and related market data while efficiently managing the marking processes around a complete set of listed OTC securities.
Discover, how Funds can define operating agreement metrics and enable fund advisors to automate advisory agreement alignment with expense allocations across funds to prevent misallocation with a standardized controlled workflow and audit trail to ensure transparency.
TUESDAY JUNE 19TH, 2018
11:00 AM (EST)

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Manual Appraisals to Automate Pricing
  • Explore how funds can centralize the storage and management of pricing data, and streamline the daily and monthly portfolio process.
  • Learn how funds can efficiently and transparently manage their pricing and in the process, generate analytics and insights to gain an operational edge
  • Connectors to major vendors and brokers
  • Pricing waterfall rules - listed, illiquid, privates
  • Pricing tests and exception management
  • Challenge and solicitation of quotes
  • Bloomberg overrides and broker runs
  • Model-based pricing
  • Pricing analytics
  • Excel add-in
WEDNESDAY JUNE 27TH, 2018
11:00 AM (EST)

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Build a Fully Compliant Expense Allocation Process
  • Explore how firms can define operating agreement metrics, how fund advisors can automate advisory agreements with expense allocations across funds and how to prevent misallocations with a standardized controlled workflow and audit trail to ensure transparency.
  • Connectors for expense management systems
  • End-of-day loading status & exception management
  • Decompose agreements into allocation metrics
  • Defining allocation methodologies & rules
  • Allocation workflows & control
  • Manual allocations & overrides
  • Rejections & reallocations
  • Reports & analytics