Regulation

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…

The dark side of tech innovation: FCA flags five big risks

By Hannah Smith on May 24, 2016
tech innovation risk

Most in the financial services industry love to moan about the FCA. Although there are many reasons you might not love the regulator, you can’t argue that it’s pretty forward-thinking when it comes to fintech. In…

Delivering the Pensions Dashboard

By David Prosser on May 16, 2016
pensions dashboard

It’s generally a good idea for governments and public bodies to stay out of private sector innovation – they may be able to help nurture an environment that is supportive to new ideas and ventures, but…

How to succeed with Social Media Compliance in Financial Services

By Courtney McQuade on May 5, 2016
social media compliance

There’s no denying that social media is no longer a “nice to have.” It’s a required part of any company’s marketing strategy, in any industry. Although the financial services industry has been the last industry to…

Third Avenue Funds Fallout

By Suzanne McGee on March 11, 2016
junk bonds

If you listened to any of the managers or marketing teams of any mutual fund firm in the weeks that followed the implosion of the Third Avenue Management junk bond fund in the final weeks of…

©2017 Kurtosys Blog