By now, most people on the buy side would have learned of the defeat of the SEC's registration rule in the US Court of Appeals in the District of Columbia Circuit last month. The primary reason cited for the defeat hinged on the SEC's assertion that hedge fund investors also qualify as clients, and funds, therefore, are required (as a result of this definition) to register with the US regulator under the Investment Advisors Act of 1940. The SEC will, no doubt, regroup, lick its wounds, and t
Anthony and James delve into how the systematic internalizer regime is shaping up, and then examine the regtech sector.Subscribe to Weekly Wrap emails
- Waters Rankings 2017: All the Winners & Why They Won
- Waters Wavelength Podcast Episode 83: Systematic Internalizers & RegTech
- Mifid Gears Grind into Motion as Systematic Internalizers Emerge
- The Investment Blockchain of Record
- Power to the People: Will MiFID II Data Disaggregation Deliver on Cost Control Promises?