Regulation

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…

Canada Relaxes Rules on Corrupt Business Practices

By Karen Riccio on July 21, 2016
Canada corrupt business practices

Just three short years ago, many Canadian companies and their employees came under fire for corrupt business practices and a lack of transparency. At the same time foreign officials accused the Canadian government of not enforcing…

RegTech: A FinTech Fad or Favourite?

By Paul Fawcett on July 4, 2016
RegTech ft Image

This year regulation technology or #RegTech has been the word (or should I say hashtag) on everybody’s lips (Twitter feed). Ever since Deloitte published RegTech is the New FinTech, a paper explaining this emerging sector of…

Asset Management: The New Fintech Frontier

By David Prosser on June 21, 2016
asset management and technology

The first fintechs made their name in sectors such as lending – witness the crowdfunding revolution – and payments, where disruptive new entrants are now market leaders in many cases. But while it is not surprising…

Has the FCA Forgotten Regulation as it Promotes Innovation?

By David Prosser on June 7, 2016
FCA regulation

The UK’s financial services regulator deserves credit for the way in which it has proactively sought to support innovation. The Financial Conduct Authority’s determination not to get in the way of technologies that promise huge benefits…