Blog

Insightful updates and expert analysis on regulatory compliance and risk management.

Retain Your Investors. Take the Bold Step Into Automated Risk Management

At AQMETRICS, we talk regularly with our fund management clients in order to understand the evolving needs of our customers’ customers.

Choosing the Best Way Forward at the MiFIDII Reporting Crossroads

Just weeks after CME revealed they were winding down their NEX Abide reporting services, Deutsche Börse followed suit, announcing last week that it will be offloading its reporting business.

AQMetrics Regulatory Round-Up: May 2020

Following a busy first quarter, which included a number of specific Covid-19 measures, regulators have been focused on implementing additional supervisory measures including weekly business continuity reporting.

The Future of Technology in Financial Services

As a futurist my vision has sometimes been seen as exciting and sometimes downright scary for the future of machines and science to enhance or replace activities and products in the world of Financial Services

MIFID II Transaction Reporting: Finding a Better Value Solution?

MiFID II continues to loom over the investment industry.

Fund Reporting: How to Make it Easy and Reduce Risk

Whether it’s fee pressures, volatile markets, or the ongoing regulatory deluge, many businesses are having to rethink their operational models.

AQMetrics Regulatory Round-up: March-April 2020

Following a busy start to the year, regulators are being forced to grapple with the COVID-19 crisis, with many investment managers impacted by the unprecedented lockdown.

ESMA Offers COVID-19 Reporting Relief

ESMA has issued a directive providing temporary regulatory relief to entities that may be affected by the ongoing COVID-19 crisis.

ESMA Releases Final Guidance on UCITS and AIF Performance Fees

ESMA last week published its final guidance on performance fees of UCITS and open-ended AIFs,

ESMA Considers Leverage Limits for Alternative Funds

ESMA announced it was consulting on whether to introduce leverage limits for Alternative Investment Fund (AIF) managers.

SEC Extends COVID-19 Reporting Relief for Investment Funds

The SEC has extended a raft of relief measures aimed at companies, investment firms, and investment advisers, including providing funds more time to meet certain filing requirements.

CSSF releases statement on reporting requirements for COVID-19 affected firms

CSSF said it expects firms to uphold their reporting and regulatory requirements during the COVID-19 crisis.

FCA readies Gabriel replacement, UK firms can register for new platform soon

The Financial Conduct Authority (FCA) is pushing ahead with its plans to replace Gabriel, the FCA’s main regulatory data collection system, which facilitates the collection of some 500,000 submissions across 52,000 firms annually.

US CFTC Provides COVID-19 Reporting Relief for Commodity Pool Operators

CFTC last week unveiled a number of no-action measures aimed at providing temporary relief for commodity pool operators (CPOs).

ESMA releases COVID-19 recommendations for financial market participants

ESMA has released a number ofrecommendationsfor market participants relating to business continuity, market disclosure, and financial reporting as the COVID-19 crisis continues to unfold.

CBI Warns Asset Managers Must Improve Cybersecurity

The Central Bank of Ireland (CBI) warned earlier this week that asset management firms must bolster their cyber security systems.

TSAM London: Liquidity Debate Preview

With markets in a state of flux, now seems an apt time to consider the liquidity management of investment funds – and how these funds are likely hold up over the coming months.

AQMetrics Regulatory Round-up: February 2020

AQMETRICS Regulatory Reporting Roundup February 2020

Liquidity Stress Testing 2020: AIMA Fund Manager Briefing Highlights

ESMA’s upcoming liquidity stress testing for UCITS and AIF funds is likely to be more arduous than many expect.

Market and Liquidity Risks Remain Elevated, According to ESMA

  Building on similar concerns in past TRV reports, ESMA explained that ‘the risk outlook is stable, however risk [remains] high, particularly in securities markets and for retail investors,’ as geopolitical and macro drivers worsen. ‘Macroeconomic conditions deteriorated in the second half of 2019, with...

CSSF begins ESMA’s supervisory action on liquidity

Luxembourg’s financial regulator last week announced that it has begun undertaking ESMA’s Common Supervisory Action (CSA) looking at UCITS fund liquidity.