This is the second in a series of four articles from the DMS Client Solutions Team, bringing you a unique perspective on the challenges and opportunities presented by the shifting European regulatory landscape. In last week’s article Daniel Forbes explored
Ancoa, a provider of contextual surveillance and analytics for exchanges, regulators, buy- and sell-side firms, has been selected by Energie Steiermark to monitor trading activity covered by MAR (Market Abuse Regulation) and REMIT. As one of the largest service
Linda Gibson, Director of Regulatory Change and Compliance Risk, BNY Mellon’s Pershing on teh challenge and opportunities of MiFID II… The FCA will not be lenient on firms that fall behind on MiFID II compliance. But where a zero tolerance
There has been a distinct shift of research budgets away from the top nine investment banks, according to an analysis of the readiness of asset managers for the research unbundling rules coming into effect in January 2018. The survey from
Independent depositary and fund oversight provider INDOS Financial has highlighted a series of omissions in the EU’s Alternative Investment Fund Managers Directive with the hope these will quickly be addressed by ESMA (The European Securities and Markets Authority). In August
The Association of National Numbering Agencies (ANNA) has opened the fee model consultation for the ANNA Derivatives Service Bureau (DSB). It is seeking industry comments on the proposed fee model that will be applied to the numbering agency functions of
By George Ralph, RFA – A recent study by Watchguard Technologies of 1,600 organisations also found that only 10 per cent believed they were 100 per cent prepared for the regulations to pass into law. That’s 90 per cent who
ICI President and CEO Paul Schott Stevens comments on the European Commission’s adoption of a proposal and communication following its review of the European Supervisory Authorities (ESAs)… As a global association representing the interests of funds and their investors located
The Netherlands is ideally placed within Europe, being less than two hours away from the main financial centres such as London, Frankfurt and Paris. It is home to some of Europe’s largest pension plans, many of who are active allocators
The European Energy Exchange (EEX) has welcomed the Winter Package, published by the European Commission, which introduces proposals for legislation on the EU energy market and the development of renewable energy going forward. “EEX believes that the European Commission is
