Regulations

AFTAs 2017: Best Reporting Initiative—State Street Corporation

From June 2018, the largest registered investment companies—those with net-asset values of over $1 billion—will be required to comply with the US Securities and Exchange Commission’s (SEC) Investment Company Reporting Modernization Rule. Existing forms,…

What to Do About Mifid II

Europe’s regulatory big bang arrives today as an evolving set of rules rather than a finished product.

The KIDs Are Alright (But the Priips Still Have Issues)

Europe’s Packaged Retail and Insurance-based Investment Products becomes law on January 1, 2018. In-scope market participants racing to meet its significant data and reporting challenges all face the same hurdle: how to calculate implicit costs. Jamie…

Ground Zero: Digital Currencies in Asia

As cryptocurrencies gain interest from investors around the globe, Wei-Shen Wong examines the splintered Asian marketplace to see how regulators are adopting different strategies when it comes to overseeing these complex instruments.

October 2017: Watchdogs Sharpen Their Tech Teeth

We’re all used to financial institutions complaining about the burden of regulation and the amounts of data they must collect, maintain and report. But spare a thought for the organizations that will have to capture and analyze more data than any single…

Compliance Countdown: On the Home Stretch to Mifid II

September 25 marked exactly 100 days until Europe’s new financial regulatory framework, Mifid II, becomes law. Jamie Hyman gets the lowdown from market participants and observers on whether the industry is ready, what the remaining three months will look…

GDPR: The Next Big Regulation

While all the talk pertaining to regulation across the capital markets has centered on Mifid II, GDPR has surprised many financial institutions due to the extent of its reach and the data governance challenges is poses. Anthony Malakian talks with…

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