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insights-slider Industry Insights Expert insight exploring the latest regulatory developments impacting the investment fund industry.
Jul282022
Regulatory InsightsShareholder Disclosures Irish Takeover Panel New Opening Disclosure Rules

Irish Takeover Panel New Opening Disclosure Rules

Regulatory Insights, Shareholder DisclosuresBy Trevor Dempster28 July 2022

On 21 December 2021, the Irish Takeover Panel released a public consultation paper…

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Jun282022
Regulatory Insights SEC Amendments to 13F

SEC Amendments to 13F

Regulatory InsightsBy Trevor Dempster28 June 2022

On 23rd June 2022, the Securities and Exchange Commission (SEC) adopted amendments to…

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Apr132022
Regulatory Insights

Which US markets are now considered equivalent to EU regulated markets?

Regulatory InsightsBy Trevor Dempster13 April 2022

The European Commission has adopted a decision declaring that a number of United…

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Apr122022
Regulatory InsightsShareholder Disclosures New CSSF Online Portal for Luxembourg Major Shareholding Notifications Social Share Image

New CSSF Online Portal for Luxembourg Major Shareholding Notifications

Regulatory Insights, Shareholder DisclosuresBy Trevor Dempster12 April 2022

Last month the CSSF announced the launch of the eRIIS, its new online…

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Mar292022
Fund DocumentsRegulatory Insights FCA finalises changes to UK PRIIPs regime

FCA finalises changes to UK PRIIPs regime

Fund Documents, Regulatory InsightsBy Trevor Dempster29 March 2022

In July 2021, the FCA consulted (in CP21/23) on proposals to address the…

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Mar232022
Depositary SolutionsRegulatory Insights FCA Custody and Fund Services Supervision Strategy

FCA Custody and Fund Services Supervision Strategy

Depositary Solutions, Regulatory InsightsBy Trevor Dempster23 March 2022

The FCA have published a letter outlining the key risks that custody and…

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Feb282022
Regulatory InsightsShareholder Disclosures SEC Proposes New Short Sale Disclosure Rules

SEC Proposes New Short Sale Disclosure Rules

Regulatory Insights, Shareholder DisclosuresBy Trevor Dempster28 February 2022

On 25th February 2022, the Securities and Exchange Commission (SEC) announced proposals that…

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Feb112022
Regulatory InsightsShareholder Disclosures SEC Propose Amendments to Schedule 13D and G Reporting

SEC Propose Amendments to Schedule 13D & G Reporting

Regulatory Insights, Shareholder DisclosuresBy Trevor Dempster11 February 2022

SEC Propose Amendments to Schedule 13D & G Reporting On the 10th February…

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Jan262022
Regulatory InsightsRegulatory Reporting Proposed Amendments to Form PF

Proposed Amendments to Form PF

Regulatory Insights, Regulatory ReportingBy Trevor Dempster26 January 2022

On the 26th January 2022, the Securities and Exchange Commission (SEC) voted to…

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Jan132022
Regulatory InsightsShareholder Disclosures EU Short Selling Reporting Threshold Lowered to 0.1%

EU Short Selling Reporting Threshold Lowered to 0.1%

Regulatory Insights, Shareholder DisclosuresBy Trevor Dempster13 January 2022

Due to increased volatility on the financial markets in 2020 triggered by the…

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Nov42021
Fund DocumentsRegulatory Insights FinDatEx consults on EPT V2 – what are the key changes

FinDatEx consults on EPT V2 – what are the key changes?

Fund Documents, Regulatory InsightsBy Trevor Dempster4 November 2021

With the publication of the updated European PRIIPs Template (EPT) for consultation, FinDatEx…

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Sep32021
Regulatory InsightsShareholder Disclosures Japan’s FEFTA Pre-Notification Requirements FAQs

Japan’s FEFTA Pre-Notification Requirements FAQs

Regulatory Insights, Shareholder DisclosuresBy Trevor Dempster3 September 2021

In 2020, Japan tightened foreign investment rules with the amendments to the Foreign…

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Sep32021
Regulatory InsightsRisk Monitoring Are you complying with the updated guidelines on stress test scenarios under the MMF Regulation?

Are you complying with the updated guidelines on stress test scenarios under the MMF Regulation?

Regulatory Insights, Risk MonitoringBy Trevor Dempster3 September 2021

Throughout August you will have seen a number of regulators publishing updated circulars,…

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Jul262021
ManCoTechRegulatory Insights NAV Oversight and Validation

NAV Oversight and Validation

ManCoTech, Regulatory InsightsBy Trevor Dempster26 July 2021

An increase in global regulation has subjected fund managers and their outsourcing partners…

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Jul222021
Fund DocumentsRegulatory Insights I KID you not! FCA to ditch performance scenarios from PRIIPs KIDs

I KID you not! FCA to ditch performance scenarios from PRIIPs KIDs

Fund Documents, Regulatory InsightsBy Trevor Dempster22 July 2021

Of all the new regulations we have seen over the last few years,…

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Jul162021
Regulatory InsightsRisk Monitoring Liquidity Mismatch – FCA & BoE put forward suggested possible liquidity framework

Liquidity Mismatch – FCA & BoE put forward suggested possible liquidity framework

Regulatory Insights, Risk MonitoringBy Trevor Dempster16 July 2021

In 2019, the Bank of England (BoE) and Financial Conduct Authority (FCA) launched…

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Jul102021
ManCoTechRegulatory Insights Challenges facing ManCos – more regulations, more regulatory change, and more scrutiny than ever before (Part 1)

Challenges facing ManCos – more regulations, more regulatory change, and more scrutiny than ever before (Part 1)

ManCoTech, Regulatory InsightsBy Trevor Dempster10 July 2021

The pressure is rising on the ManCo industry – Management Companies (ManCos) are…

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Jul92021
ManCoTechRegulatory Insights What is ManCoTech?

What is ManCoTech?

ManCoTech, Regulatory InsightsBy Trevor Dempster9 July 2021

You’ve heard of FinTech, you’ve heard of RegTech, but have you heard of…

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Jul72021
Regulatory InsightsShareholder Disclosures Shorter Schedule 13D Reporting Deadlines may be on the horizon

Shorter Schedule 13D Reporting Deadlines may be on the horizon

Regulatory Insights, Shareholder DisclosuresBy Trevor Dempster7 July 2021

The Chairman of the Securities and Exchange Commission (SEC) recently gave a speech…

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Jul62021
Regulatory InsightsRegulatory Reporting Ouch! FCA: Financial Conduct Authority delivers another blow to Authorised Fund Managers with Assessment of Value review

Ouch! FCA delivers another blow to AFMs with Assessment of Value review

Regulatory Insights, Regulatory ReportingBy Trevor Dempster6 July 2021

Last week the FCA published the results of their review on ‘host’ Authorised…

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Jul62021
ManCoTechRegulatory Insights FCA: Financial Conduct Authority Review of Host AFMs Social Share Image

FCA Review of Host AFMs

ManCoTech, Regulatory InsightsBy Trevor Dempster6 July 2021

On 30th June, the Financial Conduct Authority (FCA) published a review of Host…

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Jun232021
Regulatory InsightsRisk Monitoring 17 Liquidity Risk Management Recommendations from the FMA

17 Liquidity Risk Management Recommendations from the FMA

Regulatory Insights, Risk MonitoringBy Trevor Dempster23 June 2021

Liquidity risk in managed funds has been a prominent and increasing concern of…

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May202021
Regulatory InsightsRisk Monitoring Central Bank of Ireland Calls for UCITS Managers to Review Liquidity Risk Management Frameworks

Central Bank of Ireland Calls for UCITS Managers to Review Liquidity Risk Management Frameworks

Regulatory Insights, Risk MonitoringBy Trevor Dempster20 May 2021

In early 2020, the European Securities and Markets Authority (ESMA) launched a Common…

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Apr192021
Regulatory InsightsShareholder Disclosures Refresher Series: Hong Kong Short Selling Reporting

Refresher Series: Hong Kong Short Selling Reporting

Regulatory Insights, Shareholder DisclosuresBy Trevor Dempster19 April 2021

Investment Managers need to ensure they have in place appropriate systems and procedures…

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Mar292021
Regulatory InsightsRisk Monitoring ESMA Proposes Money Market Fund Regulation Reforms

ESMA Proposes Money Market Fund Regulation Reforms

Regulatory Insights, Risk MonitoringBy Trevor Dempster29 March 2021

The European Securities and Markets Authority (ESMA) has launched a consultation on potential…

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Mar262021
Regulatory InsightsRisk Monitoring UCITS Liquidity Risk Management ESMAs 11 Areas for Improvement

UCITS Liquidity Risk Management: ESMA’s 11 Areas for Improvement

Regulatory Insights, Risk MonitoringBy Trevor Dempster26 March 2021

ESMA has published the results of the 2020 Common Supervisory Action (CSA) on…

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Mar82021
Regulatory InsightsRisk Monitoring IOSCO Launches Thematic Review on Liquidity Risk Management Recommendations

IOSCO Launches Thematic Review on Liquidity Risk Management Recommendations

Regulatory Insights, Risk MonitoringBy Trevor Dempster8 March 2021

IOSCO has launched a Thematic Review on the implementation of Liquidity Risk Management…

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Mar22021
Investment ComplianceRegulatory Insights

Money, Money, Money – Swedish Regulator Issues Fines for Major Shareholder Disclosure Failings

Investment Compliance, Regulatory InsightsBy Trevor Dempster2 March 2021

It’s been a busy couple of months for the Swedish Supervisory Authority (Finansinspektionen)…

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Feb142021
Regulatory InsightsRisk Monitoring Refresher Series US Liquidity Risk Rules

Refresher Series: US Liquidity Risk Rules

Regulatory Insights, Risk MonitoringBy Trevor Dempster14 February 2021

This week we return to our refresher series on liquidity risk rules around…

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Feb82021
Investment ComplianceRegulatory Insights US Money Market Fund Regulation – More Work Needed!

US Money Market Fund Regulation – More Work Needed!

Investment Compliance, Regulatory InsightsBy Trevor Dempster8 February 2021

Earlier this month the Securities and Exchange Commission (SEC) published a request for…

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Feb82021
Fund DocumentsRegulatory Insights

Refresher Series: UCITS KIIDs

Fund Documents, Regulatory InsightsBy Trevor Dempster8 February 2021

UCITS IV requires UCITS to make an updated KIID available to investors for…

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Feb42021
Investment ComplianceRegulatory Insights UK 0.1% Short Selling Notification Threshold Here to Stay social share image

UK 0.1% Short Selling Notification Threshold Here to Stay

Investment Compliance, Regulatory InsightsBy Trevor Dempster4 February 2021

This week, on the 1st February 2021, the Statutory Instrument (SI) amending the…

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Feb12021
Investment ComplianceRegulatory Insights UCITS Eligible Markets – Regulated, Operates Regularly, Open to the Public

UCITS Eligible Markets – Regulated, Operates Regularly, Open to the Public

Investment Compliance, Regulatory InsightsBy Trevor Dempster1 February 2021

Following the end of the transition period, on the 1st January 2021, COLL…

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Feb12021
Regulatory InsightsRegulatory Round-ups

Regulatory Round-up: January 2021

Regulatory Insights, Regulatory Round-upsBy Trevor Dempster1 February 2021

Welcome to the first monthly regulatory round-up of 2021. Each month we will…

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Jan82021
Regulatory InsightsRegulatory Reporting Are you complying with the cost related provisions of the UCITS framework?

Are you complying with the cost related provisions of the UCITS framework?

Regulatory Insights, Regulatory ReportingBy Trevor Dempster8 January 2021

Yesterday, ESMA announced that it will be launching a Common Supervisory Action (CSA)…

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Dec162020
Investment ComplianceRegulatory Insights Are you ready for dual disclosures after the Brexit transition period?

Are you ready for dual disclosures after the Brexit transition period?

Investment Compliance, Regulatory InsightsBy Trevor Dempster16 December 2020

As we move closer and closer to a no-deal Brexit, the likelihood is,…

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Dec32020
Investment ComplianceRegulatory Insights Top 5 Foreign Investment Developments - November 2020

Top 5 Foreign Investment Developments: November 2020

Investment Compliance, Regulatory InsightsBy Trevor Dempster3 December 2020

Foreign investment and sensitive sectors regimes enable government across the world to scrutinise…

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Nov162020
Regulatory InsightsRisk Monitoring Asset Managers Need to Step Up Their Liquidity Efforts – ESMAs Five Key Priorities

Asset Managers Need to Step Up Their Liquidity Efforts – ESMA’s Five Key Priorities

Regulatory Insights, Risk MonitoringBy Trevor Dempster16 November 2020

Throughout the year regulators have focused on liquidity, and as this year draws…

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Nov132020
Investment ComplianceRegulatory Insights UK National Security and Investment Bill

UK National Security and Investment Bill

Investment Compliance, Regulatory InsightsBy Trevor Dempster13 November 2020

On 11th November 2020, the UK Government introduced the long-awaited National Security and…

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Nov62020
Investment ComplianceRegulatory Insights Overhaul Global Shareholder Disclosure Rules – Part 1

Overhaul of Global Shareholder Disclosure Rules – Part 1

Investment Compliance, Regulatory InsightsBy Trevor Dempster6 November 2020

In July, the SEC announced proposed amendments to 13F Reporting, to update the…

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Nov22020
Regulatory InsightsRegulatory Round-ups Regulatory Round-up: October 2020

Regulatory Round-up: October 2020

Regulatory Insights, Regulatory Round-upsBy Trevor Dempster2 November 2020

Despite the continuing focus on the rapidly rising COVID-19 infections rates in the…

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Oct302020
Regulatory InsightsRisk Monitoring SEC Adopts Modernized Regulatory Framework for Derivatives Use

SEC Adopts Modernized Regulatory Framework for Derivatives Use

Regulatory Insights, Risk MonitoringBy Trevor Dempster30 October 2020

On Wednesday, the Securities and Exchange Commission (SEC) approved 3 to 2, the…

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Oct262020
Investment ComplianceRegulatory Insights AIFMD II Consultation

AIFMD II Consultation

Investment Compliance, Regulatory InsightsBy Trevor Dempster26 October 2020

On 22nd October 2020, the European Commission (EC) published the much anticipated consultation…

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Oct232020
Investment ComplianceRegulatory Insights CP86 Thematic Review and Conclusions

CP86 Thematic Review and Conclusions

Investment Compliance, Regulatory InsightsBy Trevor Dempster23 October 2020

On 20th October 2020, the Central Bank of Ireland (CBI) published a letter…

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Oct152020
Regulatory InsightsRisk Monitoring Further Liquidity Regulatory Scrutiny Needed

Further Liquidity Regulatory Scrutiny Needed

Regulatory Insights, Risk MonitoringBy Trevor Dempster15 October 2020

Last month it was great to see a number of key liquidity developments…

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Oct152020
Investment ComplianceRegulatory Insights Ignorance is not bliss - a timely reminder that derivatives ARE included

Ignorance is not bliss – a timely reminder that derivatives ARE included!

Investment Compliance, Regulatory InsightsBy Trevor Dempster15 October 2020

Yesterday, the Financial Conduct Authority (FCA) fined a Hong Kong hedge fund just…

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Sep242020
Regulatory InsightsRisk Monitoring Canada Guidance on Effective Liquidity Risk Management for Investment Funds

Canada Guidance on Effective Liquidity Risk Management for Investment Funds

Regulatory Insights, Risk MonitoringBy Trevor Dempster24 September 2020

The Canadian Securities Administrators (CSA) has published guidance to help investment fund managers…

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Sep142020
Regulatory InsightsRisk Monitoring September Liquidity Deadlines: Reminder on Funds Investing in Inherently Illiquid Assets

September Liquidity Deadlines: Reminder on Funds Investing in Inherently Illiquid Assets

Regulatory Insights, Risk MonitoringBy Trevor Dempster14 September 2020

The 30 September compliance deadline is fast approaching for a number of liquidity…

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Sep112020
Regulatory InsightsRegulatory Reporting Assessing the Assessment of Value Reports

Assessing the Assessment of Value Reports

Regulatory Insights, Regulatory ReportingBy Trevor Dempster11 September 2020

It’s been almost a year since the FCA Assessment of Value rules came…

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Aug272020
Fund DocumentsRegulatory Insights PRIIPs Whats Been Happening

PRIIPs: What’s Been Happening?

Fund Documents, Regulatory InsightsBy Trevor Dempster27 August 2020

Of all the new regulations we have seen over the last few years,…

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Aug252020
Regulatory InsightsRegulatory Reporting ESMAs AIFMD Recommendations - A Specific Look at Delegation

ESMA’s AIFMD Recommendations – A Specific Look at Delegation

Regulatory Insights, Regulatory ReportingBy Trevor Dempster25 August 2020

As discussed in our previous blog , ESMA has written to the European…

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Aug252020
Regulatory InsightsRegulatory Reporting ESMAs Proposed Changes to AIFMD

ESMA’s Proposed Changes to AIFMD

Regulatory Insights, Regulatory ReportingBy Trevor Dempster25 August 2020

When the European Commission announced back in March 2018, a proposal to amend…

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Aug252020
Regulatory InsightsRegulatory Reporting ESMAs Proposed Changes to AIFMD Reporting Regime

ESMA’s Proposed Changes to AIFMD Reporting Regime

Regulatory Insights, Regulatory ReportingBy Trevor Dempster25 August 2020

Last week, ESMA published a letter to the Commission setting out 19 key…

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Aug252020
Investment ComplianceRegulatory Insights SEC Proposed Modernised Shareholder Reports

SEC Proposed Modernised Shareholder Reports

Investment Compliance, Regulatory InsightsBy Trevor Dempster25 August 2020

The U.S. Securities and Exchange Commission (SEC) recently proposed significant modifications to the…

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Aug212020
Regulatory InsightsRegulatory Reporting Will you still be in scope for 13F Reporting

Will you still be in scope for 13F Reporting?

Regulatory Insights, Regulatory ReportingBy Trevor Dempster21 August 2020

Last Friday (14th August) was the Q2 filing deadline for 13F reporting. But…

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Jul272020
Regulatory InsightsRisk Monitoring The 16 ESMA Guidelines On Liquidity Stress Testing For UCITS And AIFs

The 16 ESMA Guidelines on Liquidity Stress Testing for UCITS and AIFs

Regulatory Insights, Risk MonitoringBy Trevor Dempster27 July 2020

On 2nd September 2019, the European Securities and Markets Authority (ESMA) published its…

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Jul202020
Regulatory InsightsRisk Monitoring Liquidity Landscape – Singapore

Liquidity Landscape – Singapore

Regulatory Insights, Risk MonitoringBy Trevor Dempster20 July 2020

Last week we took a brief look at the liquidity risk management regime…

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Jul132020
Regulatory InsightsRisk Monitoring Liquidity Landscape – Hong Kong

Liquidity Landscape – Hong Kong

Regulatory Insights, Risk MonitoringBy Trevor Dempster13 July 2020

Although liquidity risk management practices vary in different jurisdictions, in most cases, asset…

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Jun292020
Regulatory InsightsRisk Monitoring Liquidity Mismatch

The Liquidity Mismatch

Regulatory Insights, Risk MonitoringBy Trevor Dempster29 June 2020

This month marked one year since the collapse of Neil Woodford’s LF Woodford…

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Jun242020
Regulatory InsightsRegulatory Reporting ESMA up the Ante on Undue Fund Costs

ESMA up the Ante on Undue Fund Costs

Regulatory Insights, Regulatory ReportingBy Trevor Dempster24 June 2020

ESMA recently published a supervisory briefing on the supervision by National Competent Authorities…

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Jun222020
Regulatory InsightsRisk Monitoring Enhanced Depositary Oversight for Funds Investing in Inherently Illiquid Assets

Enhanced Depositary Oversight for Funds Investing in Inherently Illiquid Assets

Regulatory Insights, Risk MonitoringBy Trevor Dempster22 June 2020

As discussed in previous blogs, later this year new FCA rules for open-ended…

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Jun172020
Regulatory InsightsRisk Monitoring An Overview of MMF Reporting

An Overview of MMF Reporting

Regulatory Insights, Risk MonitoringBy Trevor Dempster17 June 2020

On 31 March 2020, the European Securities and Markets Authority (ESMA) announced that…

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Jun152020
Regulatory InsightsRisk Monitoring Breaking the Buck and the Introduction of Greater Liquidity Requirements

Breaking the Buck and the Introduction of Greater Liquidity Requirements

Regulatory Insights, Risk MonitoringBy Trevor Dempster15 June 2020

Money market funds (MMFs) are an important part of the European and global…

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Jun82020
Regulatory InsightsRegulatory Reporting ESMA Briefing on Supervision of Costs in UCITS and AIFs

ESMA Briefing on Supervision of Costs in UCITS and AIFs

Regulatory Insights, Regulatory ReportingBy Trevor Dempster8 June 2020

The European Securities and Markets Authority (ESMA) has published a supervisory briefing on…

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Jun52020
Investment ComplianceRegulatory Insights Full Implementation of the New Japan Foreign Investment Rules

Full Implementation of the New Japan Foreign Investment Rules

Investment Compliance, Regulatory InsightsBy Trevor Dempster5 June 2020

The new Japan foreign investment rules were fully implemented on 7th June after…

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Jun42020
Investment ComplianceRegulatory Insights Foreign Investment Restrictions On The Rise

Foreign Investment Restrictions on the Rise

Investment Compliance, Regulatory InsightsBy Trevor Dempster4 June 2020

Liquidity risk was amplified by the COVID-19 pandemic with regulators introducing a number…

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May272020
Regulatory InsightsRisk Monitoring The Liquidity Countdown

The Liquidity Countdown

Regulatory Insights, Risk MonitoringBy Trevor Dempster27 May 2020

Fund liquidity problems witnessed in 2019 with Woodford and H2O Asset Management brought…

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May202020
Investment ComplianceRegulatory Insights Short Selling Bans

Short Selling Bans – More Harm Than Good?

Investment Compliance, Regulatory InsightsBy Trevor Dempster20 May 2020

With the recent market volatility caused by the COVID-19 pandemic, regulators across the…

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Apr202020
Regulatory InsightsRegulatory Reporting what have we seen so far

FCA Assessment of Value – what have we seen so far?

Regulatory Insights, Regulatory ReportingBy Trevor Dempster20 April 2020

Under the FCA’s Asset Management Market Study, the final report of which was…

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Apr62020
Depositary SolutionsRegulatory Insights UCITS AND AIFS NEW SEGREGATION AND SAFEKEEPING DUTIES FOR DEPOSITARIES ENTER INTO FORCE

UCITS and AIFs new segregation and safekeeping duties for depositaries enter into force

Depositary Solutions, Regulatory InsightsBy Trevor Dempster6 April 2020

On 30th October 2018, following the opinion issued by the European Securities and…

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Mar262020
Regulatory InsightsRisk Monitoring The Challenges of Liquidity Stress Testing

The Challenges of Liquidity Stress Testing

Regulatory Insights, Risk MonitoringBy Trevor Dempster26 March 2020

It seems that ‘liquidity risk’ is the prevalent term on everyone’s lips these…

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Jan302020
Regulatory InsightsRisk Monitoring Liquidity Risk A 2020 Priority

Liquidity Risk: A 2020 Priority

Regulatory Insights, Risk MonitoringBy Trevor Dempster30 January 2020

Firms must have appropriate systems, controls and governance to oversee and manage liquidity…

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Dec192019
Regulatory InsightsRegulatory Reporting FCA Assessment of Value Part 6_ Wolf in sheep’s clothing – how to spot a closet tracker

FCA Assessment of Value Part 6: Wolf in sheep’s clothing – how to spot a closet tracker

Regulatory Insights, Regulatory ReportingBy Trevor Dempster19 December 2019

A number of key regulators including ESMA, the CBI and the FCA have…

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Dec172019
Regulatory InsightsRegulatory Reporting Assessment of Value Part 5_ The US approach – what can be learned

FCA Assessment of Value Part 5: The US approach – what can be learned

Regulatory Insights, Regulatory ReportingBy Trevor Dempster17 December 2019

While the FCA’s Assessment of Value (AoV) process is a new development in…

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Dec92019
Regulatory InsightsRisk Monitoring Should illiquid assets be held in open ended funds_

Should illiquid assets be held in open ended funds?

Regulatory Insights, Risk MonitoringBy Trevor Dempster9 December 2019

Fund liquidity, like a mirage in the desert, can disappear in an instant…

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Nov272019
Regulatory InsightsRegulatory Reporting AOV Blog Series Part 4_ Blog Image

FCA Assessment of Value Part 4: Where Next?

Regulatory Insights, Regulatory ReportingBy Trevor Dempster27 November 2019

Whilst UK AFMs are currently busily engaged in the FCA Assessment of Value…

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Nov252019
Regulatory InsightsRegulatory Reporting Introduction to Derivatives Use Reporting

Introduction to Derivatives Use Reporting

Regulatory Insights, Regulatory ReportingBy Trevor Dempster25 November 2019

With the FCA derivative use reporting deadline fast approaching, it’s the perfect time…

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Nov222019
Regulatory InsightsRegulatory Reporting Copy of AOV Blog Series Part 3_ Blog Image

FCA Assessment of Value Part 3: At What Cost?

Regulatory Insights, Regulatory ReportingBy Trevor Dempster22 November 2019

The FCA’s terminology is FCA Assessment of Value, a shift from the earlier…

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Nov52019
Regulatory InsightsRegulatory Reporting AOV Blog Series Part 2_ Blog Image

FCA Assessment of Value Part 2: The Impact and Implications for Firms – Lip Service or Real Change?

Regulatory Insights, Regulatory ReportingBy Trevor Dempster5 November 2019

In this, the second of our series on FCA Assessment of Value, we…

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Oct292019
Regulatory InsightsRegulatory Reporting AOV Blog Series Part 1_ Blog Image

FCA Assessment of Value Part 1: Introduction

Regulatory Insights, Regulatory ReportingBy Trevor Dempster29 October 2019

Performance of the FCA Assessment of Value process will be a significant challenge…

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Sep222019
Regulatory InsightsRegulatory Reporting Is your active fund really a Closet Tracker_

Is your active fund really a Closet Tracker?

Regulatory Insights, Regulatory ReportingBy Trevor Dempster22 September 2019

Closet trackers, also known as closet indexing or index hugging, refers to the…

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Sep52018
Investment ComplianceRegulatory Insights 7 Key Features of the new Singapore Short Selling Rule

7 Key Features of the new Singapore Short Selling Rule

Investment Compliance, Regulatory InsightsBy Trevor Dempster5 September 2018

Following 4 years of consultations and several minor revisions, the Monetary Authority of…

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