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ESMA Tightens the Reigns on UCITS Efficient Portfolio Management Oversight
By Adrian Whelan, Brown Brothers Harriman
Originally published at the On the Regs blog
ESMA recently published its findings after inspecting UCITS Efficient Portfolio Management and the report is likely …
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CSDR: How Penalties and Mandatory Buy-Ins Will Hit Banks
By Kerril Burke, Meritsoft
Originally published on the TabbFORUM
The Central Security Depository Regulation, more commonly referred to as CSDR, goes directly to the heart of a bank’s profitability and …
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New Prudential Regime for Investment Firms – How Are MiFID Managers Impacted?
By Michael Chambers, Cordium
Originally published on the TabbFORUM and on the Cordium ‘GRC Insights’ blog
Designed to be simpler and more proportionate to a firm’s operations, the EC’s new …
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Listening to the Brexit Mood Music
By Adrian Whelan, Brown Brother Harriman
Originally published at the On the Regs blog
The U.K. has a rich tradition of musical innovation. From the Beatles, Rolling Stones, and Led …
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LEI Data Is Not Static
By Ben Lis, LEI Smart
Originally published on the LEI Smart blog
After an LEI is issued, the data associated with it can change. A counterparty could amend its legal …
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Equity Options Transparency: What You See May Not Be What You Get
By Larry Tabb and Alicia Reilly, Tabb Group
Originally published on the TabbFORUM
We love to talk about how transparent the equity options markets are. But the transparency of order …
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From Citi’s 2018 Mid-Year Finreg Outlook: 2 Things to Worry About and 1 Big Question
By Sean Tuffy, Citi
Originally published in Citi’s 2018 Mid-Year Finreg Outlook
After a busy first half of the year, there remains plenty of regulatory action to keep the industry …
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Research Evaluation: How to Evolve the Broker Vote Under MiFID II
By Emma Garvey, Red Deer
Originally published on the TabbFORUM
While the broker vote has traditionally been a fundamental part of commission management between buy- and sell-side firms, the requirement …
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Hong Kong OFC Is Live – What That Means for Asset Managers
By Adrian Whelan, Brown Brothers Harriman
Originally published at the On the Regs blog
The long anticipated Open-Ended Fund Company (OFC) took effect in Hong Kong last week and is …
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OCC Clears the Path to Greater Capital Efficiencies for Clearing Firms in U.S. Exchange-Listed Options Markets
By Craig Donohue, OCC
Originally published on the TabbFORUM
On September 4, OCC intends to begin implementing a new financial safeguards framework that aligns to a Cover 2 standard and …
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