Insights

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common challenges we face.

If you would like to take part in the next Regulatory Change Forum

At ISC’s recent Regulatory Change Forum (held 7th February 2023) the topic of the European DORA Regulation was raised, and in particular, what the impacts of DORA would be on the Investment Management Industry. Here is

Such is the complexity of the various regulatory reporting regimes in respect of Trade and Transaction reporting, that it can be quite bewildering. MiFIR, EMIR, CFTC, ASIC, SFTR, and other regimes, with all the various local rules, and frequent changes/updates make for a moving target which is increasingly hard to hit. This makes for challenges not only for asset managers who need to report their trades, but also for software

There are many aspects of the build and delivery of a Fund for launch, both operational and technical. All these aspects should be identified during the requirement gathering with the Client and Product Development teams. However

In July 2022, the FCA set out the final rules and guidance for a new Consumer Duty that will set higher and clearer standards of consumer protection across financial services.
 
The FCA proposed different responsibilities for firms classed as the manufacturer or distributor of a product or service.

Working on Client requirements for a new fund then taking these requirements to the Business can often throw up complexities in unexpected ways. Every fund is different, and we often see the detailed requirements gathered from the