GDPR
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GDPR: MiFID Funds Struggling with SEC Approvals
By Olly Jackson
February 8, 2019, Practice Insight from IFLR
The U.S.’ Securities and Exchange Commission (SEC) is allegedly blocking non-U.S. investors from registering as investment advisers due to concerns …
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British and U.S. Banks Are Deeply Divided on Brexit Ties
By Jess Shankleman, Harry Wilson, and Robert Hutton
February 10, 2019, Bloomberg
With just seven weeks to go before Brexit, it’s not just U.K. politicians who are bitterly divided over …
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2019’s Key Tech Trend for Capital Markets? That’s Private
By Monica Summerville, TABB Group
Originally published on the TABBFORUM
There is a Gordian Knot that needs to be cut when it comes to financial firms being able to leverage …
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Regulation in 2019: Have Advisers Got the All-Clear?
By Damian Fantato
January 28, 2019, FTAdviser
A new year brings new challenges, and for advisers the challenges of the modern age see them increasingly concerned with regulatory and legislative …
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Three Areas of Financial Regulatory Reform in the New Congress
By John Popeo, The Gallatin Group
Originally published on Gallatin’s Insights blog
The U.S. House of Representatives is returning to Democratic control for the first time since 2011. While a …
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U.S. Clash Over E.U. Privacy Rules Stymies European Funds
By Laurence Fletcher
January 14, 2019, Financial Times
U.S. concerns over E.U. data protection rules are hindering the ability of European hedge funds to raise money from investors in America, …
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E.U. Watchdog to Rule on Data Exchange Among Market Regulators
By Huw Jones and Michelle Price
December 21, 2018, Reuters
The European Union’s data watchdog will decide in coming weeks if financial regulators around the world can routinely swap information …
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2018 Financial Regulatory Review: A Flurry of Activity
By Adrian Whelan, Brown Brothers Harriman
Originally published at the On the Regs blog
Despite a lack of mega-regulation, between Brexit, new ETF rules, and increasing investor protections, 2018 had …
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CBI Outsourcing Paper – Another Critical Piece of the Global Oversight Puzzle
By Adrian Whelan, Brown Brothers Harriman
Originally published at the On the Regs blog
The Central Bank of Ireland’s (CBI) latest discussion paper highlights a trend in regulator interest and …
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MiFID II Helps Tradeweb Reach Record European ETF Volumes in January
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Big Asset Managers Cut Research Costs at Higher Rate
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Brussels Rejects Plea for Dual-Listed London Shares Trading
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The Evolution of the DSB Product Committee: Helping Industry and ISINs Align
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No-Deal Brexit May Move MiFID II Thresholds – Maijoor
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MiFID II Helps Tradeweb Reach Record European ETF Volumes in January
-
Big Asset Managers Cut Research Costs at Higher Rate
-
Brussels Rejects Plea for Dual-Listed London Shares Trading
-
The Evolution of the DSB Product Committee: Helping Industry and ISINs Align
-
No-Deal Brexit May Move MiFID II Thresholds – Maijoor
Luxembourg’s Financial Regulator Takes Another Step to Advance AI Adoption
By Mehtap Numanoglu Tasiopoulos, Brown Brothers Harriman
Originally published at the On the Regs blog
For some time now, financial firms have been looking at how they can use artificial …
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