Regulatory

Every Asset Manager needs to know what regulation is coming along, and how their organisation will be affected. Horizon Scanning is the recommended technique for assessing upcoming regulatory requirements. But with so much regulation out there, wouldn’t it make sense to have a tailored horizon scan that only tells you what regulation specific to your firm (and explains why other regulation doesn’t impact you)? Click on the link in comments to find out why a tailored horizon scan could be just what your organisation needs..

Despite what some may think, UK and EU regulators are fully aware of the challenges posed by regulatory divergence in the asset management space following the UK’s departure from the EU and have been taking various measures to address these issues. The challenge is that divergence both in the rules themselves, and the timeframes for implementation will cause additional burden to asset managers running cross-border operations. At present, this is most evident between the EU and the UK, but

In these days of increased regulatory scrutiny over the asset management industry, with all the protections around customers of investment staff, is it any wonder that firms are turning their attention to risks and controls within their front office controls operations?