Regulation and Compliance

Lead Content

Cybersecurity: turning threats into investment opportunities (Robeco, 2018)

Investors can profit from this dynamic growth market with a core-satellite strategy. This would consist of established players with durable competitive advantages on the one hand, and a basket of…

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Robeco

20 Jun 2018

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Being Better Informed (monthly) FS regulatory, accounting and audit bulletin - PwC, Jul 2018

A monthly bulletin of regulation, accounting and audit practices from PricewaterhouseCoopers.

New Insights on the Trust Crisis in Finance (Enterprising Investor blog, Jul 2018)

Ten years after the global financial crisis, many industry observers are looking back, assessing what transpired, and wondering what has truly changed in the financial services industry. Lasting…

TOP RECENT POSTS

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Regulatory Insights - a quarterly overview of EU legislative and regulatory developments (State Street)

The Next Generation of Trust - A Global Survey on the State of Investor Trust (CFA Institute, 2018)

Building Cyber Resilience in Asset Management (Investment Association, 2018)

Brexit and Alternative Asset Managers: Managing the Impact (AIMA, 2018)

A New Paradigm for Regulatory Change and Compliance (BNY Mellon/RegTech Council, 2018)

Parting of the Ways? Global Asset Management Regulation (KPMG, June 2018)

IFRS 15 for UK Investment Management Companies (KPMG, May 2018)

Global Regulatory Outlook 2018 (Duff and Phelps)

Private Equity Regulation: Change is the Rule (Pantheon, 2018)

Impact of Reporting Frequency on UK Public Companies (CFA Institute Research Foundation, 2018)

Global Guide to Responsible Investment Regulation (PRI/MSCI, 2018)

Why we shouldn’t be too miffed with MiFID II (LGIM, Apr 2018)

TOP NEWS AND BLOGS

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A Brief History of the Impact of E.U. Antitrust Fines on Tech Stocks (NY Times, Jul 2018)

U.S. Fixed Income Skeptical on MiFID II

Broker-Dealer Settles Record Keeping Charges for $1.25 Million

White Collar Watch: Bail After Federal Convictions Tell Prosecutors ‘It Ain’t Over’ (Dealbook, Jul 2018)

The Battle Between Comcast and Disney Has Moved to London. This Rule Is Why. (Dealbook, Jul 2018)

The SEC’s Standard of Conduct Proposals Would Raise the Bar on U.S. Investment Advisers

JP Morgan whistle-blower is awarded a record $30 million from U.S. derivatives regulator (CNBC, Jul 2018)

Staff Letter (No-action relief under rule 206-4(3) under the Investment Advisers Act of 1940)

Guidance Update: Business Continuity Planning for Registered Investment Companies

Money Market Fund Statistics: June, 2018