Adrian Whelan
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EU ESG Puzzle Continues to Challenge
By Adrian Whelan, Brown Brothers Harriman
Originally published at the On The Regs blog
The EU’s Sustainable Finance Disclosure Regulation (SFDR) is unquestionably one of the most complex implementation projects …
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ESMA’s Second Decade: Top 10 Things to Watch
By Adrian Whelan, Brown Brothers Harriman
Originally published at the On The Regs blog
ESMA’s recently released Annual Report covers several areas of focus for regulators in the next few …
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Regulating Robots: Will the SEC Hold Algorithms to the Same Standards as RIAs?
By Adrian Whelan, Brown Brothers Harriman
Originally published at the On The Regs blog
Regulators are reviewing how gamification and other tech led sales techniques sit within their Regulation Best …
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PRIIPS: Would You Like the Good News or the Bad News First?
By Adrian Whelan, Brown Brothers Harriman
Originally published at the On The Regs blog
There is some good news and some bad news regarding the Packaged Retail Investment and Insurance …
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Hanging Tough: Operational Resilience Is High on the Regulatory Agenda
By Adrian Whelan, Brown Brothers Harriman
Originally published at the On The Regs blog
The global COVID-19 pandemic has brought the topic of operational resilience to the top of the …
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EU Throws Another ESG Acronym Onto the Pile
By Adrian Whelan, Brown Brothers Harriman
Originally published at the On The Regs blog
Environmental, Social, and Governance (ESG) is one of the hottest topics in asset management, and just …
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Fund Liquidity: Regulators Pose the “What If” Questions – Part Three
By Adrian Whelan, Brown Brothers Harriman
Originally published at the On The Regs blog
In the final part of our three part series on fund liquidity, we focus on the …
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Fund Liquidity: Regulators Pose the “What If” Questions – Part Two
By Adrian Whelan, Brown Brothers Harriman
Originally published at the On The Regs blog
In Part Two of our three part series on fund liquidity, we focus specifically on European …
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Fund Liquidity: Regulators Pose the “What If” Questions – Part One
By Adrian Whelan, Brown Brothers Harriman
Originally published at the On The Regs blog
In Part One of a three part series on fund liquidity, we discuss the important “what …
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Firms Doubt Benefits of EU MiFID Best Execution Reform
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ESMA Proposes Changes to ‘Burdensome’ MiFID II Best Execution Reporting Requirements
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Brussels Rejects Exchanges’ Call for 15-Minute Delay on Record of Trades
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French Watchdog Chief Calls for Ban on ‘Payment for Order Flow’ in EU Stock Market
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EU Reliance on Third Country Entities Creates Risk
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Firms Doubt Benefits of EU MiFID Best Execution Reform
-
ESMA Proposes Changes to ‘Burdensome’ MiFID II Best Execution Reporting Requirements
-
Brussels Rejects Exchanges’ Call for 15-Minute Delay on Record of Trades
-
French Watchdog Chief Calls for Ban on ‘Payment for Order Flow’ in EU Stock Market
-
EU Reliance on Third Country Entities Creates Risk
SPACs: Fad or Future?
By Adrian Whelan, Brown Brothers Harriman
Originally published at the On The Regs blog
One of the hottest topics across global asset management throughout the pandemic period has been the …
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