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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 …

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MiFID, News

Knowledge Graphs Show Glimpse of Full Potential

By Max Bowie
February 15, 2021, WatersTechnology


Thankfully, most of the challenges facing firms are more mundane, but still have the potential to be costly drains on resources.

For instance, …

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Comments

SEC Prepares for the “New Normal”

By Adrian Whelan, Brown Brothers Harriman
Originally published at the On the Regs blog

As if the COVID-19 pandemic isn’t enough of a headache for US fund managers working from …

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MiFID, News

EU’s AI Regulations Could Lay Blame With CTO

By Joanna Wright
August 18, 2020, WatersTechnology

In ancient Mesopotamia, King Hammurabi turned Babylon into a city-state to be reckoned with. His famous code is one of the earliest legal …

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News

Data ruling’s impact on banks hinges on toughness of regulators

By Ryan Weeks
July 20, 2020, Financial News

A ruling on transatlantic data transfers by Europe’s top court could cause significant back-office disruption to banks — but only if regulators …

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MiFID, News

Study: Post-financial crisis fines against financial institutions hit $36B

By Jaclyn Jaeger
February 11, 2020, Compliance Week

Global fines and penalties against financial institutions hit $36 billion last year, as ramifications from the financial crisis continue to reverberate throughout …

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Comments

Can the E.U. and U.S. Build a Bridge Across Data Privacy Divide?

By Adrian Whelan, Brown Brothers Harriman
Originally published at the On the Regs blog

E.U. regulations often cast a shadow far beyond the borders of Europe. More than a year …

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Comments, News

Regulation Further Propels Asset Managers Towards Digital Transformation

By Simone Vroegop, Brown Brothers Harriman
Originally published at the On the Regs blog

Asset managers today are faced with an overwhelming quantity of data. The paradox for many managers …

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MiFID, News

DFMs still grappling with regulatory overhauls

By Dave Baxter
August 29, 2019, FTAdviser

Advisers rarely have a kind word for regulators, and sometimes with good reason. From investment regulations to the likes of the EU’s General …

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MiFID, News

Regulation drives asset management consolidation

By Jimmie Franklin
August 21, 2019, International Financial Law Review

A tough regulatory environment has left asset management struggling to comply, and keep costs down.

This is leading to consolidation …

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  • 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

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  • 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

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