regulation

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 of the Professional and Institutional investors.
Posted on: 28 Jul, 2016
Posted in: Feature

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.

Posted on: 29 Jun, 2016

The impact of recent regulations on the post-trade landscape

On Tuesday 01 March, Thomas Murray hosted a half day event in London entitled Post-Trade Risk Roundtable. The event sought to explore the regulatory hurdles being faced by those involved with the funds industry, and how firms can prepare to clear these challenges in their post-trade networks.
Posted on: 04 Mar, 2016

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

Bad things that can happen to client assets

Sonia Maloney, Chief Operating Officer at Norrep Capital Management Ltd, speaks to COOConnect about the best ways of identifying the risks when going into the market and the main concerns at the moment. Sonia also summarises the conclusions drawn during her panel discussion on 'asset safety and regulatory efficiency' at the 2014 Global Custody Forum in London.

Posted on: 19 Dec, 2014
Posted in: Video Features

ALFI European Alternative Investment Funds Conference - a summary

Here is a summary of some of the key issues at the Association of the Luxembourg Funds Industry (ALFI) alternative investment conference.

Posted on: 28 Nov, 2014
Posted in: Regulation

Reasons fund managers need to worry about MiFID II and MiFIR (part 2)

Last week, I drew attention to the massive inflation of regulatory reporting obligations introduced under the updated Markets in Financial Instruments Directive (MiFID II) and the accompanying Markets in Financial Instruments Regulation (MiFIR).

This week I want to draw the attention of members to a potentially major change in research procurement that may occur as a result of MiFID II and MIFIR – and to a potentially large change in what is reported not to regulators, but to clients.

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