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Post-trade: From the EEC to Here

This posting is the second article in a series being run by Thomas Murray Data Services.  It focuses on the context in which the terms of Brexit will be finalised between the UK and the EU as...

Challenges UK SMEs Face After Brexit

The UK voted to leave the EU in an historic referendum at the end of June, with huge consequences for everyone living and working in...







Latest News

Brexit and Post-Trade: First Thoughts and Questions (Thomas Murray)

Brexit and Post-Trade:  First Thoughts and Questions (Thomas Murray)

taken from: www.ds.thomasmurray.com

Post on: 14 Sep, 2016
Posted in: Buy-Side Features

New Manager Led Products – What Are They?

With the AIFMD having imposed stringent regulatory and supervisory standards over EU Fund Managers (AIFMs), regulators and others have questioned the need for similar levels of regulatory oversight over funds – particularly those servicing the needs...
Post on: 28 Jul, 2016
Posted in: Feature

Thinking About MAR at a Practical Level

The Market Abuse Regulation (MAR), which took effect on 3 July 2016, introduces harmonised measures across the European Union’s member states.

Post on: 22 Jul, 2016
Posted in: Buy-Side Features

NatWest says time is ripe for funds to appoint independent depositaries

A serious conflict of interest has arisen in the European funds industry.

Post on: 07 Jul, 2016

The impact of government regulations on businesses: do they help or hinder?

There has always been a tension between governments and businesses when it comes to the imposition of regulation.

Post on: 29 Jun, 2016
Posted in: Feature, Opinions, Regulation

AltX hedge fund platform forms distribution partnership with Northern Trust

Hedge fund market intelligence platform AltX has evolved.

Post on: 27 Jun, 2016

The new ISA rules and how they work

In March 2014, George Osbourne announced a major overhaul of the hugely popular individual savings account, commonly known as an ISA.

Post on: 22 Jun, 2016
Posted in: Investors

Getting your cyber house in order

The issue of cybersecurity, and the rising, fast-evolving threat of cyber attacks, is high on the agenda for many private equity and real estate managers.

Post on: 20 Jun, 2016

Stories

Brexit and Post-Trade: First Thoughts and Questions (Thomas Murray)

Brexit and Post-Trade:  First Thoughts and Questions (Thomas Murray)

taken from: www.ds.thomasmurray.com

Post on: 14 Sep, 2016
Posted in: Buy-Side Features

New Manager Led Products – What Are They?

With the AIFMD having imposed stringent regulatory and supervisory standards over EU Fund Managers (AIFMs), regulators and others have questioned the need for similar levels of regulatory oversight over funds – particularly those servicing the needs...
Post on: 28 Jul, 2016
Posted in: Feature

Thinking About MAR at a Practical Level

The Market Abuse Regulation (MAR), which took effect on 3 July 2016, introduces harmonised measures across the European Union’s member states.

Post on: 22 Jul, 2016
Posted in: Buy-Side Features

NatWest says time is ripe for funds to appoint independent depositaries

A serious conflict of interest has arisen in the European funds industry.

Post on: 07 Jul, 2016

The impact of government regulations on businesses: do they help or hinder?

There has always been a tension between governments and businesses when it comes to the imposition of regulation.

Post on: 29 Jun, 2016
Posted in: Feature, Opinions, Regulation

AltX hedge fund platform forms distribution partnership with Northern Trust

Hedge fund market intelligence platform AltX has evolved.

Post on: 27 Jun, 2016

The new ISA rules and how they work

In March 2014, George Osbourne announced a major overhaul of the hugely popular individual savings account, commonly known as an ISA.

Post on: 22 Jun, 2016
Posted in: Investors

Getting your cyber house in order

The issue of cybersecurity, and the rising, fast-evolving threat of cyber attacks, is high on the agenda for many private equity and real estate managers.

Post on: 20 Jun, 2016

Fund managers urged to have responses to regulatory enforcement actions in place

Private funds should have a strategic response plan in place to deal with any potential regulatory enforcement action, according to Cordium, a compliance consultancy

Posted on: 27 Oct, 2014
Posted in: Operational Risk

MiFID II research costs will disproportionately impact smaller managers

Requirements under the Markets in Financial Instruments Directive II (MiFID II) stipulating fund managers must pay for research through their management fee as opposed to equity commissions will adversely impact smaller firms.

Posted on: 27 Oct, 2014
Posted in: Regulation

Firms should consult MiFID II for insights into AIFMD reverse solicitation rules

Firms seeking to rely on reverse solicitation to attract EU capital under the Alternative Investment Fund Managers Directive (AIFMD) should refer to the Markets in Financial Instruments Directive II (MiFID II) as the text makes passing reference t

Posted on: 27 Oct, 2014
Posted in: Regulation

TriOptima unveils product to assist firms in pairing of reported OTC instruments under EMIR

TriOptima has announced that its triResolve service, a portfolio reconciliation tool, could help financial insti

Posted on: 24 Oct, 2014
Posted in: Regulation

DTCC urges greater collaboration on cyber-crime threats

A white paper published by the Depository Trust & Clearing Corporation (DTCC) has urged regulators and financial institutions to collaborate more on the increasing threats posed by cyber-crime.

Posted on: 23 Oct, 2014
Posted in: Technology

Solvency II will facilitate retreat from alternatives by insurers, says UBS/PwC study

More than two-thirds of insurance companies intend to scale back their exposures to alternative asset managers as a result of regulation, according to a survey by UBS Fund Services and PricewaterhouseCoopers (Pw

Posted on: 23 Oct, 2014
Posted in: Regulation

BNP Paribas unveils Annex IV reporting service

BNP Paribas Securities Services has launched an outsourced reporting service for firms filing their Annex IV under the Alternative Investment Fund Managers Directive (AIFMD).

Posted on: 23 Oct, 2014

SEC could introduce financial competency exams to determine accredited investors

The Securities and Exchange Commission (SEC) is likely to change the definition of accredited investor either by increasing the income or net worth threshold, or by introducing financial competency examinations in what could make it harder for sma

Posted on: 22 Oct, 2014
Posted in: Regulation

ESMA likely to force primes to segregate AIF and non-AIF assets

The European Securities and Markets Authority (ESMA) is likely to force prime brokers to segregate AIF assets from non-AIF assets in what could have significant implications for the prime brokerage operating model.

Posted on: 20 Oct, 2014
Posted in: Regulation

Regulators must take preventative not reactive approach to mitigate CCP failures

Global regulators and financial institutions should focus on preventative rather than reactive measures to mitigate the knock-on effects of a central counterparty clearing house (CCP) running into difficulty if one of its clearing members defaults

Posted on: 16 Oct, 2014
Posted in: Regulation

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