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Latest News and Regulatory Insights

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Blog

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

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.

Regulators Outline Top Priorities and Concerns for 2020

Not 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.

3 Key Takeaways from Funds Congress 2020

This 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.

What’s Next for UCITS Funds Following Brexit?

What 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.

ESMA Shares Bond Liquidity Data, as Number of Liquid Bonds Shrinks Again

ESMA last week published anewly available liquidity datasetfor bonds subject to the pre- and post-trade requirements under MiFID II and MiFIR.

ESMA consults on new regimes for third country firms

ESMA 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.

ESMA Launches Liquidity CSA and Clarifies Post-Brexit Obligations

ESMA 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.

Understanding UCITS Compliance Monitoring Solutions

As 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?

CBI releases new UCITS Q&A

The 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.