Insightful updates and expert analysis on regulatory compliance and risk management.
ESMA last week published its final guidance on performance fees of UCITS and open-ended AIFs,
Read moreESMA announced it was consulting on whether to introduce leverage limits for Alternative Investment Fund (AIF) managers.
Read moreThe 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.
Read moreCSSF said it expects firms to uphold their reporting and regulatory requirements during the COVID-19 crisis.
Read moreThe 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.
Read moreCFTC last week unveiled a number of no-action measures aimed at providing temporary relief for commodity pool operators (CPOs).
Read moreESMA has released a number ofrecommendationsfor market participants relating to business continuity, market disclosure, and financial reporting as the COVID-19 crisis continues to unfold.
Read moreThe Central Bank of Ireland (CBI) warned earlier this week that asset management firms must bolster their cyber security systems.
Read moreWith 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.
Read moreAQMETRICS Regulatory Reporting Roundup February 2020
Read moreESMA’s upcoming liquidity stress testing for UCITS and AIF funds is likely to be more arduous than many expect.
Read moreBuilding 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...
Read moreLuxembourg’s financial regulator last week announced that it has begun undertaking ESMA’s Common Supervisory Action (CSA) looking at UCITS fund liquidity.
Read moreNot only did regulators outline their top priorities, many of which they’re working on in tandem, they also cautioned that 2020 is likely to be one of their busiest, and potentially most ‘intrusive’ years yet.
Read moreThis year’s Funds Congress was the biggest and most successful to date, with the annual networking event bringing together leading fund managers, CEOs, thought leaders and policymakers.
Read moreWhat are some of the likely outcomes? And what should firms be planning in order to be prepared for the changes ahead? AQMETRICS shares its insights, as well as key learnings from the marketplace from UCITS management companies.
Read moreESMA last week published anewly available liquidity datasetfor bonds subject to the pre- and post-trade requirements under MiFID II and MiFIR.
Read moreESMA last week launched a consultation on draft technical standards relating to investment services and activities in the European Union (EU) by third-country firms under MiFIR and MiFID II.
Read moreESMA is pushing ahead with its fund liquidity review, launching a Common Supervisory Action (CSA) with national competent authorities (NCAs) to look at UCITS managers liquidity risk management.
Read moreAs the FCA recently highlighted in a report on the selection and use of asset management portfolio tools, ‘processes and controls, particularly in risk model oversight and contingency planning’ are required. What does this mean for UCITS regulated firms?
Read moreThe Central Bank of Ireland (CBI) yesterday issued its 28th Edition of the Central Bank UCITS Q&A, with few major changes from the last edition, published on 15 July 2019.
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