Insights
Trade & Transaction Regulatory Reporting – The Technology Challenge
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
Read MoreNavigating the slalom of changing requirements
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
Read MoreConsumer Duty – upcoming deadlines for manufacturers and distributors
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.
How to ensure your product scope is right…..
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
Read MoreISC Regulatory Horizon Scanning for 2023 (& 2024)
ISC Regulatory Horizon Scanning for 2023 (& 2024) ISC has reviewed the regulatory horizon for 2023, (but also…
Read MoreESG – Mapping SEC Product Categories to FCA Classifications
Back in November 2022, we posted a brief article on SDR vs. SFDR fund classifications, how they will differ going forward, and the outline considerations to be made when determining how funds/products will be classified
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