BOSTON, May 5, 2026 – Brown Brothers Harriman (BBH) today announced a new solution to help asset managers ensure they are compliant with the SEC Names Rule (Rule 35d-1).
The SEC’s Names Rule requires registered investment funds to ensure their names accurately reflect their investments and risks. If a fund’s name suggests a focus on a particular asset type, industry, or strategy, at least 80% of its assets must align with that focus. Ensuring compliance requires a review of each of the fund’s individual assets.
BBH’s solution analyses fund holdings against the Names Rule threshold criteria, allowing managers to have a clear view of the fund’s compliance status. BBH’s Names Rule data solution mitigates the need for time consuming manual reviews to help give managers confidence ahead of any reporting deadlines.
The solution:
- Leverages Infomediary® to collect fund holdings
- Cross references the fund’s holdings against key reference data
- Analyses the holdings at a granular level to determine compliance with threshold rules
“This was a natural fit with the broader suite of managed data services solutions we’re offering today,” said Tim Bosco, Managing Director, Infomediary Data Solutions at BBH.
“Bringing together large, disparate data sets, normalizing them, and applying rules-based analysis is fundamental to the work we’re doing across multiple data domains like accounting, custody, investor reporting, and performance. As our teams started having conversations with clients about Names Rule, the operational challenges of combining fund holdings and reference data became clear. And we knew that we could help.”
About Brown Brothers Harriman (BBH)
Brown Brothers Harriman (BBH) is a global financial services firm known for premium service and specialist expertise. For over 200 years, we have partnered with clients to navigate complexity, innovate with purpose, and succeed in evolving financial markets. Our 6,000 employees serve clients and their investments in over 90 markets from 18 offices worldwide. As a private partnership, we are uniquely built to put clients first – and deliver success that lasts.
BBH Investor Services is a leading provider of asset servicing and operating model solutions to global asset managers and financial institutions. Asset servicing solutions include custody, global tax services, depositary and trustee, accounting, administration, and transfer agency. Operating model solutions solve platform, data, and connectivity challenges across open-architecture operating models. We support clients’ growth, operational efficiency and resiliency, and streamline reporting and oversight.
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