Regulation and Compliance - Articles & White Papers
Reports and white papers on investment regulation and compliance issues. Amongst the research in this investment compliance and regulation section are white papers on AIFMD (Alternative Investment Fund Managers Directive) and Solvency II - particularly the practical implications for fund managers and insurers. Reports discussing the impact of regulation on fund management...
companies, and the operational challenges this presents, have been particularly well received, whilst regulatory primers (for instance providing an overview of who regulates whom and how) have also been well read. Other surveys and articles cover financial regulatory policy, hedge funds regulation, investment regulation, risk management, IFRS financial statements, GIPS performance reporting and the future of investment compliance for asset owners.
In this report, CFA Institute covers how the economic crisis induced by the coronavirus is impacting capital markets, investment management, and the authorities' response.
This practical guide provides an overview, from a panel of senior legal professionals across various jurisdictions, of how to navigate the regulations and responsibilities affecting directors and senior managers that will impact your business.
The investment world is changing at an ever-increasing pace and the coronavirus crisis has highlighted the need for further evolution. As the financial services industry grapples with increased cost, competition, multinationals face jurisdictional complexity and pension plans encounter governance challenges, the case for…
Tax-efficiency has become an important factor for fund performance in recent years – particularly for pension funds that suffer too much withholding tax (WHT) on the dividends of their pooled equity investments. This is because UK pension schemes, as tax-exempt investors, are entitled to reduced WHT on dividends from global…
EFAMA is the primary source for statistical data on the European Fund and Asset Management industry. This annual review covers data to June 2020 in areas such as regulation, stewardship, market structures, economics, pensions and many more.
This first INSPIRE report provides an overview of the breadth of work that is now underway to green the financial system, as well as the initial findings that are emerging, and the hurdles that are yet to be overcome.
This financial services horizon scanner provides a high level overview of ongoing and expected EU initiatives in the area of financial services. The horizon scanner identifies and summarises key EU legislative and non-legislative initiatives that are likely to impact firms providing financial services in the EU, which are…
The toxic cocktail of unanticipated consequences stemming from MiFID II research rules has a potent new ingredient: the coronavirus market drawdown. This may accelerate a regulatory review of MiFID II research rules in a post-Brexit Europe.
In this ninth edition of The Oliver Wyman Risk Journal, the authors reflect upon both increased risk and increased opportunities ahead for companies. Companies will need to find a path that ensures the health of their teams and enables their businesses to prosper in what may be a radically changed workplace and world.
Sullivan and Cromwell report on recent developments regarding frameworks developed by the Sustainability Accounting Standards Board, the Task Force on Climate-Related Financial Disclosures, and other standard makers.
Asset managers will need to seriously consider the impact of the IBOR transition on their businesses and, consistent with regulators’ expectations, take action significantly before the end of 2021 to enable them to properly prepare.
For close to 50 years, the SEC has periodically contemplated whether ESG1 disclosures are material and should be incorporated into its integrated disclosure regime for SEC registered Issuers. This recommendation asserts that the time has come for the SEC to address this issue. Addressing ESG disclosure now will (a) provide…
Faced with short-term demands and an urgent need to protect assets, the COVID-related economic downturn created a liquidity crisis for many institutional investors. State Street experts discuss the challenges clients were up against when it came to balancing regulatory requirements, assessing risk and maintaining liquidity.…
Regulators are continuing to respond to the coronavirus (COVID-19) outbreak, although the pace of these developments is slowing. The past month also saw the launch of the Regulatory Initiatives Grid, which aims to give firms a clearer idea of upcoming developments across the UK regulators, and an important update on…
The regulatory environment for Irish-domiciled management companies has been subject to review in recent years, with greater focus on ‘substance’ to ensure that current business models are fit for purpose now and in the future.
The purpose of this publication is to highlight disclosure requirements and provide sample disclosures. The disclosures should be adapted to particular situations as required. Alternative disclosures, wording and forms of presentation may be used as long as they include the specific disclosures prescribed in the accounting…
Data has never been more essential to making informed decisions, particularly in private markets where internal data at financial institutions is typically thin.
