regulation

Jun 14, 2019

Our panel of experts discusses the best ways to achieve efficiency, data regulations, the challenge of fragmented market practices and the future role of technology.

Jun 14, 2019

Mark_GemMark Gem, Chair of Clearstream Risk Committee and Member of the Executive Board at Clearstream, questions why it has become so challenging to fulfil compliance requirements around transparency and disclosure in the collective investments industry when these tasks have been managed efficiently for cash securities instruments for many years.

Jun 12, 2019

European regulation, SFTRInvestment banks are “overconfident” they will meet the requirements of the EU’s Securities Financing Transactions Regulation (SFTR), which comes into force next April, while the majority remain unprepared for the new rules.

Jun 11, 2019

Keep_out_tapeOnly one tenth of Luxembourg-domiciled funds would technically be allowed for distribution in Germany when further performance fee requirements come into place in January next year.

Jun 06, 2019

BoardroomFranklin Templeton Fund Management Limited has appointed three non-executive directors to boost the firm’s fund governance.

Jun 06, 2019

Anti money launderingThe Luxembourg financial regulator, the Commission de Surveillance de Secteur Financier or CSSF, has published guidance on anti-money laundering and combatting the financing of terrorism.

Jun 03, 2019

ComplianceAlmost 400 entities in the UK that were subject to capital markets rules known as ‘MiFIR’ had problems with transaction reporting last year and notified the financial regulator.

May 23, 2019

sustainability regulationsThe European Securities and Markets Authority (Esma) has set up a network of regulators focused on sustainability, appointing Ana María Martínez-Pina Garcia as its chair for two years.

May 23, 2019

We moved on to ask respondents how data was used within their organisation (fig 5). Just over a third view data management primarily as a task to feed their investment research (34%).

May 23, 2019

There has been extensive research during the past five years exploring how financial transaction processing and record-keeping can be remodelled using distributed ledger, or blockchain, technology.

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