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Investment Regulation: Current Issues

The Regulatory Outlook in 2018: top white papers

State Street presents an overview of the most pressing regulatory developments that the EU is currently facing, including MiFID II, GDPR, and Brexit.

Also herein, the CFA Institute Research Foundation talks about the rapid evolution of Fintech and Regtech over the past decade, and PwC discusses regulation, taxes, and safeguards within the ETF industry.

Savvy Investor

Regulatory Insights - a quarterly overview of EU legislative and regulatory developments (State Street)
State Street Corporation's comprehensive quarterly report sheds light on recent significant regulatory developments in the EU - on GDPR, MiFID II, Brexit's regulatory implications, and other topics.

Fintech and Regtech in a Nutshell, and the Future in a Sandbox (CFA Institute Research Foundation, 2018)
Financial markets, services, and institutions are changing rapidly due to new developments in financial technology and regulatory technology, or fintech and regtech, as the sectors have come to be known over the past decade. 

The Next Generation of Trust - A Global Survey on the State of Investor Trust (CFA Institute, 2018)
The CFA Institute looks at investor trust, providing some recommendations for investors on the ways in which they might improve trust with clients.

Money Market Funds: A State Street Study (Feb 2018)
The EU Money Market Fund reform was recently put into place by the European Parliament. State Street presents some of their findings from investors who were surveyed about this regulation.

US Money Market Fund Reform: Assessing the Impact (BlackRock, Jan 2018)
This six page document from BlackRock assesses the impact of the US Money Market Reforms, which were finally implemented in 2016.

US Asset Management and Insurance: Core Principles for Regulating the US Financial System (US Treasury Dept, Oct 2017)
This US Dept of Treasury report examines the state of the US asset management and insurance industries, concluding with recommendations for a specific set of issues.

UK Asset Management Market Study remedies and changes to the handbook (FCA, Apr 2018)
This FCA report discusses price competition in the asset management industry and the ways in which the UK public is exposed to high charges and poor price competition via their pensions.

Why we shouldn’t be too miffed with MiFID II (LGIM, Apr 2018)
(For compliance reasons, this paper is not accessible in the USA & Canada)
Ed Wicks of LGIM discusses benefits from greater transparency, despite the risks to trading that recent financial reforms pose.  

Global Asset Management: 2018 outlook (Moody's)
This Moody's report provides a helpful overview of the key factors likely to affect the asset management industry in 2018. Despite possible changes, the fundamental challenges to the industry are expected to remain.

Brexit and Alternative Asset Managers: Managing the Impact (AIMA, 2018)
This paper strives to set out several technical points that need to be addressed as a part of the Brexit settlement between the EU and the UK that affect the alternative asset management industry.

Transforming Culture in UK Financial Services (FCA, Mar 2018)
Fraught throughout history with issues of scandal, including recent instances of rogue traders, LIBOR rigging, and mis-selling, the FCA discusses ways in which the culture of the financial services industry might be transformed.

Financial Markets and International Regulatory Dissonance: A WFE Position Paper, Nov 2017
This position paper from the World Federation of Exchanges talks about regulatory reforms (post-GFC) and the ways in which markets have become more stable as well as challenges that still remain for the industry.

How regulations and taxes are shaping the future of ETFs (PwC, 2018)
The increased popularity of ETFs has also come with increased scrutiny. In this paper, PwC shows the commitment of regulators to ensuring the existence of safeguards for the ETF asset class.

A Regulatory Framework for Exchange-Traded Funds (2018)
ETFs as an asset class have over $3 trillion in AUM.  Given certain distinctive characteristics of ETFs, this academic work may be the first to show the need for a further regulatory framework for this burgeoning asset class.

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