GDPR
Some stories require a subscription to access the full source article.
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 →
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, …
Read More →
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 …
Read More →
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 …
Read More →
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 …
Read More →
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 …
Read More →
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 …
Read More →
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 …
Read More →
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 …
Read More →-
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
-
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
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 …
Read More →