Funds
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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 …
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 …
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 …
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 …
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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 …
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 …
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 …
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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 …
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 …
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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 …
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MiFID II Review to Look at Systematic Internalizers
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Blast From the Past: EU Tells Traders Working From Home: Take Notes if You Can’t Record Calls
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Blast From the Past: EU Watchdog to Nudge Bond Trades Closer to Real-Time Transparency
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Blast From the Past: Traders Across Europe Face Up to the Cost of Failure
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Blast From the Past: Passive Investing Boom Reaches Europe as Assets Hit $1 Trillion
-
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