Regulation

The Future of Asset Management: Savvy Investor’s Top White Papers

By Andrew Perrins on October 23, 2017
Savvy Investor

“The Industry is Evolving…” In recent months, some great white papers have been released which examine the evolution and the future of asset management. The impact of technology, regulation, demographics, and Brexit, are all external forces,…

How Will MiFID II Affect US Asset Managers?

By Alexandra Filippova on August 9, 2017
MiFID-II-US-&-EU

It’s the regulatory news that is on every institution’s metaphorical lips: MiFID II or, in its full glory, the Markets in Financial Instruments Directive (II). Indeed, this behemoth of European Union legislation has been the basis…

Asset managers, is it time to monetise compliance and tax?

By David Prosser on August 2, 2017
Monetise-compliance-tax

Asset management firms have some catching up to do – research continues to show an industry that lags behind the rest of the financial services sector when it comes to using data and analytics technologies. One…

Asset managers are late to the big data party: MiFID II is a chance to catch up

By Tim Cooper on July 24, 2017
Mifid-late-Big-data

The MiFID II deadline looms ever closer, but many asset managers are a long way from having compliant technology solutions ready by 3 January. The revised Markets in Financial Instruments Directive (MiFID II) is one of…

Five key MiFID II issues every fund marketer should be worrying about

By David Prosser on July 23, 2017
Five-MiFID-ideas

With less than six months to go now until the introduction of MiFID II, are you ready for the new regulation? The second incarnation of the European Union’s Markets in Financial Instruments Directive becomes legally binding…

It is about the money, active fund managers: we care about the price tag

By David Prosser on June 28, 2017
Active-funds-price-tag

Another day, another nail in the coffin of active investment management – or at least of those active managers who can’t make a coherent and convincing case for why investors should give them the time of…

Why Are Regulators Forcing The Digital Transformation of Payments?

By Graham Jarvis on June 26, 2017
PSD2-Mobile-Payments

“By January 2018 banks must comply with the EU’s second Payment Services Directive (PSD2), intended to improve online payment protection, encourage payment services innovation, and make cross-border payments safer. We’re finally entering the modern age of…

Investment research platform gets huge boost from MiFID II

By Tim Cooper on June 15, 2017
Research-Boost-MiFID

Scott Winship, Emma Margetts and Alex Santos, co-founders of financial technology start-up Alpha Exchange, appear to be in the right place at the right time. 30 months ago, they started developing a platform and marketplace for…

KIIDs reform: compliance burden or marketing opportunity?

By David Prosser on June 12, 2017
KIIDs-documentation

Time is running out for asset managers planning how they will comply with the MiFID II and PRIIPs regulations that come into force next year. And given the work involved with getting processes and documentation in…

The DOL’s Fiduciary Rule Still in Limbo

By Karen Riccio on June 7, 2017
DOL-White-House

With U.S. President Donald Trump past the official 100-day honeymoon period of his first term, I’d like to be able to report a little more certainty on the fate of the Department of Labor’s (DOL) fiduciary…

Dodd-Frank Reform: Why Would It Force the UK to Relax Regulation?

By Graham Jarvis on April 19, 2017

US President Donald Trump signed an Executive Order on 3rd February 2017 to review the 2010 Dodd-Frank financial regulations, which were brought in to prevent another 2008 financial crisis.  Simon French, Panmure Gordon’s chief economist, explains…

Getting ready for GDPR

By David Prosser on April 12, 2017

New data regulation due to come into force in just over a year’s time will bring challenges, but also opportunities. Thirteen months and counting. In May 2018, new laws on data protection and privacy come into…