Regulation

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…

Compliance: How to use artificial intelligence to Know Your Customer

By Graham Jarvis on March 2, 2017
AI-compliance

Financial services organisations have since the financial crisis in 2008 had to respond to a stricter regulatory compliance regime. This has led to the introduction of technologies that automate processes such as Know Your Customer (KYC)…

Brexit woes for UK fund managers

By David Prosser on February 15, 2017
Brexit-Fund-Managers

Finally, we’re about to push the button. The Supreme Court ruling in January clears the way for Theresa May’s government to trigger Article 50 of the Treaty of Lisbon – once she has Parliament’s approval, that…

A Digital Outlook for 2017 and Beyond

By Mash Patel on January 4, 2017
digital-outlook

By most measures, it was a pretty normal day in the City of London. The date was 18th November 2016 and for most people in the asset management industry, it was business as usual. Whilst the…

How Will Trump’s Focus on Deregulation Affect Asset Management?

By Karen Riccio on December 28, 2016
trump deregulation

By now, the world is well aware that Americans voted President-elect Donald Trump into office, and he’s making waves and promises to overturn many of the previous administration’s policies even before being sworn in this coming…

The KIDs aren’t alright: PRIIPs bring problems for fund marketers

By Hannah Smith on October 11, 2016
investor risk

Perhaps the greatest challenge of fund marketing is figuring out how best to convey complex information to potential customers. The material produced needs to be clear, accurate, engaging, and compliant with current regulation. But it is…

MiFID II Level 2: Sales, Distribution & Marketing…are you miffed?

By Mash Patel on October 3, 2016
MiFID-II Level 2

Firstly, I’d like to start with a disclosure: This blog is not about the legal interpretation of MiFID or an analysis of the detailed prose of the directive and associated legislation. If you do want to…