Brexit and Custody

14 Oct, 2016

This is the fourth in a series of five thought pieces Thomas Murray wishes to share with clients this summer, the questions for our fields of expertise before the amorphous Brexit project takes shape.

MiFID II greatest regulatory strategy issue for EU fund managers

Out of all the European regulations to affect strategy, MiFID II is expected to be the biggest priority for investment managers, with MiFID II investment research rules being highlighted as a key strategic challenge in a survey conducted by Deloit

Posted on: 26 Oct, 2015

Regulatory Reporting, Risk Mitigation, Central Clearing and Collateral management: Are you ready?

Regulation including MiFID II, MiFIR and EMIR, with its introduction of mandatory central counterparty clearing and derivative reporting, all present challenges for financial institutions.

Posted on: 10 Sep, 2015
Posted in: Regulation

Safekeeping Questions

09 Jun, 2015

The £126 million fine levied by the UK Financial Conduct Authority (FCA) on BNY Mellon in April for breaches of the rules on the safekeeping of client assets was the latest in a series of similar sanctions.

New lines of business can be developed as TA revenues fall

David Moffat, Group Executive at International Financial Data Services, discusses the new lines of business that can be developed as TA revenues fall, the ways in which funds can be bought, and the impact of MiFID II on their business, during the ITAS conference in Luxembourg.

Posted on: 12 Mar, 2015
Posted in: Video Features

How buying and selling hedge funds can become more efficient for distributors

Andrea Mornato, Director at Invesco Asset Management, discusses the models in which to buy a fund, the impact of MiFID II on their business and what can be done to make buying and selling hedge funds more efficient for distributors, during the ITAS conference in Luxembourg.

Posted on: 06 Mar, 2015
Posted in: Video Features

MiFID II - An update on status and impact

MiFID II has come about because MiFID I required a review three years after implementation. A number of consultations resulted in the publication of the final text of MiFID II into the European Journal in June 2014. It consists of two parts; a directive, which leaves room for national level interpretation and a regulation, which does not.

Posted on: 10 Feb, 2015
Posted in: Video Features

UCITS VI warned against curbing legitimate hedging activities

Any restrictions on the eligibility of assets, particularly derivatives, through UCITS VI must avoid curtailing legitimate hedging activity at fund managers.

Posted on: 30 Oct, 2014
Posted in: Regulation

Fund managers still charging end clients for research despite FCA clampdown

Almost three quarters of UK investment firms have taken little or no action to revise the way in which they purchase research using dealing commissions despite the recent clampdown by the Financial Conduct Autho

Posted on: 28 Oct, 2014
Posted in: Regulation

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


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