Senior executives at financial services firms are concerned that regulation in the sector is not promoting stability, according to the 2016 Global Regulatory Outlook published by Duff & Phelps. A majority of 193 C-Suite and senior level staff polled by
Regulatory reporting has become a critical component of running an alternative investment fund. This requires well-developed data sourcing and data management processes to help ensure that fund managers remain compliant. Until a few years ago, there were no formal regulatory
IHS Markit has formed a strategic alliance with Deloitte to address MiFID II regulatory challenges leveraging IHS Markit’s Outreach360 solution and Deloitte’s regulatory business advisory expertise via a managed service. IHS Markit and Deloitte will offer customers a total solution
Beginning in 2018, Kempen has decided to cover external investment research costs as part of its strategy to comply with MiFID II. These costs however may still be passed on to clients under strict conditions. MiFID II contains a provision
Investment research platform ResearchPool has launched an MiFID II solution for investment firms to manage budget, spending, consume and evaluate research, named Tool for Research Usage and Evaluation (TRUE). TRUE aims to enable investment firms to easily manage and control research spending and
Indus Valley Partners (IVP), a provider of services and solutions to alternative asset managers, has launched a new regulatory filing service for the Markets in Financial Instruments Directive II (MiFID II). The new service forms part of the overall regulatory
A survey of the alternatives sector conducted by Eurekahedge and AIMA Japan finds that fund managers in Japan now typically allocate up to 10 per cent of their total expenses on regulatory compliance. The survey of close to 90 firms
IHS Markit has launched Collateral Manager, an end-to-end solution for calculating margin, settling margin calls and managing margin disputes. New regulation requires the mandatory exchange of variation and initial margin for cleared and uncleared OTC derivatives transactions. In response, financial
NEX Regulatory Reporting is to use Duco’s technology to provide MiFID II reconciliation to the firm’s clients. Reconciliation is a mandatory activity under MiFID II. The joint offering will use Duco’s reconciliation platform, Duco Cube, as a “black box” through
The European Securities and Markets Authority (ESMA) has published an opinion which sets out general principles on supervisory approach in relation to relocations of entities from the United Kingdom (UK) to the remaining 27 EU members states (EU27). ESMA has
