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Regulators Face Hobson’s Choice

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

A Hobson’s Choice is a free choice in which only one thing is offered. Because a …

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Sustainable Finance Disclosure Regulation: So Much to Do, So Little Time

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

The European Union’s ambitious plan to make the financial industry more sustainable has reached an important …

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PRIIPs Turns EU Policymakers a Little Frosty

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

With the turning of the year, a cold snap often descends and while much of the …

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UK Fund Managers Urge Caution on EU Rules Overhaul

By David Ricketts
February 10, 2021, Financial News

The UK’s fund management trade body has urged European policymakers to tread with caution over any attempts to overhaul existing rules that …

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2021 FinReg Outlook: Changing Tide

Originally published on Citi Securities Services Insights

With relatively little implementations on the horizon, asset managers should start preparing for the next regulatory high tide.

There’s a certain tidal quality …

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US and EU Regulators: the Same but Different, Too

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

“We are not so different you and I”
–Dr. Evil to Austin Powers in International …

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US Derivatives Rule: Three Things to Know

Originally published on Citi Securities Services Insights

Here are some of the key things that asset managers should know about the SEC Derivatives Rule.

On 28 October, the Securities and …

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Location, Location, Location: Two Key CP86 Questions Clarified (Kind Of!)

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

2020 has been a year like no other. One contradictory aspect of this year’s enforced lockdown …

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Sitting on the Dock of the Bay: Hong Kong’s Next Great Opportunity

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

Otis Redding famously wrote his laid-back classic, “Sitting on the Dock of the Bay” …

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ESMA Seeks Peak Performance

By Caitriona Flynn, Brown Brothers Harriman
Originally published at the On the Regs blog


ESMA Seeks Peak Performance

With industry competition constantly at fever pitch, the regulatory scrutiny on fees …

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  • ESMA: Both OTC Identifiers Will Not Be Required in EMIR Reporting

  • Intermediaries ‘Failing to Share Data With Fund Firms’: FCA

  • Can Brexit Fix Adviser Regulation?

  • Has COVID Stopped the Clocks on FX Timestamp Efforts?

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  • MiFID II Pushes OTC Derivative Trading to Unregulated Cloud

  • ESMA: Both OTC Identifiers Will Not Be Required in EMIR Reporting

  • Intermediaries ‘Failing to Share Data With Fund Firms’: FCA

  • Can Brexit Fix Adviser Regulation?

  • Has COVID Stopped the Clocks on FX Timestamp Efforts?

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