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 the wake of the 100th anniversary of the founding of the Chinese Communist Party (CCP), the nation has sprung into rapid-fire regulatory tightening reminiscent of the 2014-2015 supply-side reductions and 2018’s crackdown on shadow banks, both of which caused China’s economy to slow. New regulations range from restrictions…
MFS IM's Co-CIOs of Equity-Asia, Jeanine Thomson and Simon Gresham, and Institutional Equity Portfolio Manager Sanjay Natarajan discuss potential opportunities in China against the backdrop of recent regulatory changes.
To align with net-zero emissions targets, the financial system needs a radical transformation. Can it get there and, if it does, what should it look like by 2050?
Investors in China should view recent interventions by the government in the context of its history and longer-term strategic ambitions, argues Senior Portfolio Manager Amy Kam.
FTSE Russell's annual survey of the market conducts in-depth research to better understand how sustainable investment is perceived, considered and used by asset owners around the world.
Many provisions and requirements of MiFID II relate either directly or indirectly (e.g. direct electronic access or tick sizes) to algorithmic trading. This review report therefore adopts a holistic approach to algorithmic trading and reviews all provisions related directly and indirectly to algorithmic trading with the aim…
Chinese equity markets have been in the headlines lately, so UBS AM sat down with Bin Shi, Head of China Equities, for an update on the market and his current outlook.
Environmental, social, and governance (ESG) considerations are not always as black and white as many anticipate. Take, for example, the recent trend of large extractive companies selling off carbon-intensive assets, partially in an effort to 'decarbonise' their portfolios. Such actions may look like progress…
Today’s discussion is all about China. You need not look very far to notice news headlines centered on the delisting of Chinese stocks as a result of actions from the Securities and Exchange Commission (SEC) prescribed by the Holding Foreign Companies Accountable Act. Many have deemed this as a financial cold war between the…
China’s regulators are taking swift, radical action against tech companies they consider to be too big and powerful. How should foreign investors respond?
The European commercial real estate (CRE) debt market presents a significant opportunity for nonbank lenders to enter and grow market share. Regulatory change has affected the UK commercial real estate debt market with the introduction of slotting; Basel III finalisation will have further impact on reducing bank appetite for…
Listen to Jason Mitchell, Co-Head of Responsible Investment at Man Group, discuss with Commissioner Allison Herren Lee of the U.S. Securities and Exchange Commission how regulatory change is reshaping ESG investing.
In this blog, WisdomTree Investments explores the results of the most recent 2021 European-wide bank stress tests and how sustainable investing is pushing the banking sector to become accountable for their compliance of commonly accepted international norms.
Since FTSE Russell first surveyed global asset owners in 2017, they’ve learned more each year about asset owners' awareness, attitudes, and behaviors when it comes to Sustainable Investment (SI). This annual survey is valuable barometer for shifting attitudes amongst asset owners globally, and this year almost 200 asset…
This report is intended as a reference guide to track the most important regulatory developments from the beginning of May 2021 to the week ending 17 September 2021. Topics include Basel III, ESG, digital assets, and many other themes.
It’s good news that financial regulators are focused on figuring out what to do about stablecoins because their growth is creating significant risks. But there’s a bigger picture here than how to bring these new instruments within the regulatory perimeter, or how to regulate crypto generally, even though these are important…
Global Industry Analyst Alan Hsu and Dr. Philip Duffy of Woodwell Climate Research Center discuss the importance of close cooperation between investors and climate scientists when addressing climate action.
On 24 September 2021, the People’s Bank of China (PBoC) reiterated its position that digital assets such as bitcoin, ether and tether do not have legal tender status. The PBoC made it clear that they prohibit activities such as marketing, payment/settlement and technical support when related to cryptoassets. It is also…
As Congress methodically moves forward to enact President Joe Biden’s Build Back Better agenda via the budget reconciliation process, it is grappling with several big issues, the biggest of which is how to pay for it.
