→ visit Tradeweb.com
FinReg|Alert

Your Source for Regulatory Intelligence




  • Home
  • News
  • Comments
  • Video
  • Resources
    • Regulation
    • Research
  • MiFID Alert
  • About
    • Contact

Funds

  • Home
  • News
  • Comments
  • Video
  • Resources
    • Regulation
    • Research
  • MiFID Alert
  • About
    • Contact

Funds

Some stories require a subscription to access the full source article.

News

Investment Firms Prudential Regime Paves Way for FCA’s Post-Brexit Supervision

By Alice Tchernookova
April 12, 2021,
Practice Insight from IFLR

The UK’s new Investment Firms Prudential Regime (IFPR) bears testament to the Financial Conduct Authority’s new supervisory style in the …

Read More →
MiFID, News

Blast From the Past: Passive Investing Boom Reaches Europe as Assets Hit $1 Trillion

By Chris Flood
January 5, 2020,
Financial Times

Europe has rushed to join the passive investing boom, with the assets held in exchange traded funds surging beyond the $1 trillion …

Read More →
MiFID, News

PIMFA Warns on Post-Brexit Regulation Wave

By Jon Yarker
April 6, 2021,
FT Adviser

PIMFA has specifically identified the Investment Firm Prudential Regime as one for firms to be aware of, due to its similar size …

Read More →
MiFID, News

Asset Managers Have a Huge Hole in Their Platform Data

By Bella Caridade-Ferreira and Kevin Okell
April 6, 2021, Money Marketing


The FCA recently completed a review of product governance across a sample of eight asset management firms.

Ironically, given …

Read More →
News

SEC Maintains Intense Scrutiny of Non-Transparent ETFs

By Jackie Noblett
April 1, 2021, Financial Times


Active non-transparent exchange traded fund sponsors are providing reams of information to the Securities and Exchange Commission as the regulator conducts intense …

Read More →
News

US CFTC Official Advises Stricter Oversight of Funds Managing Family Wealth

By Chris Prentice
April 1, 2021, Reuters


The Commodity Futures Trading Commission (CFTC), the top US swaps regulator, should reverse its loosening of oversight of family offices, a Democratic commissioner …

Read More →
News

European Regulator Fires Warning Shot Over Fund Liquidity

By Chris Flood
March 25, 2021, Financial Times

Europe’s top financial regulator has called on asset managers to ensure mutual fund customers can still pull out their money in times …

Read More →
News

Calls Grow for More Oversight of ESG Ratings

By Natasha Rega-Jones
March 25, 2021, Risk


With sustainable investing products continuing to increase in popularity, calls are growing for the providers of environmental, social and governance (ESG) ratings to …

Read More →
MiFID, News

No Short Answer: Hedge Funds Hesitate on Europe’s ESG Rules

By Samuel Wilkes
March 23, 2021, Risk

Hedge funds keen to get a slice of the action in sustainable investing have been doing so using one of their favourite tools …

Read More →
News

ESG Disclosure Rules From Europe Challenge US Fund Managers

By Jean Eaglesham and Anna Hirtenstein
March 22, 2021, The Wall Street Journal


Scores of US fund managers are being forced to comply with sweeping new European rules on climate …

Read More →
123›»
 

  • MiFID II Review to Look at Systematic Internalizers

  • Blast From the Past: EU Tells Traders Working From Home: Take Notes if You Can’t Record Calls

  • Blast From the Past: EU Watchdog to Nudge Bond Trades Closer to Real-Time Transparency

  • Blast From the Past: Traders Across Europe Face Up to the Cost of Failure

  • Blast From the Past: Passive Investing Boom Reaches Europe as Assets Hit $1 Trillion

More →

Archives

 

 

 

Tweets by @TWMiFID

Stay Informed

Updates on the latest regulations affecting the global fixed-income, derivatives, and ETF markets.
Subscribe

Popular Topics

Derivatives
MiFID II
MiFIR
Video
 

  • MiFID II Review to Look at Systematic Internalizers

  • Blast From the Past: EU Tells Traders Working From Home: Take Notes if You Can’t Record Calls

  • Blast From the Past: EU Watchdog to Nudge Bond Trades Closer to Real-Time Transparency

  • Blast From the Past: Traders Across Europe Face Up to the Cost of Failure

  • Blast From the Past: Passive Investing Boom Reaches Europe as Assets Hit $1 Trillion

More →

Archives

 

 

 

  • Events
  • About
  • Contact
  • Privacy Guidelines
  • Disclaimer
  • Terms of Use