Blog

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

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.

CBI warns conduct risk controls lacking in latest CEO letter

CBI issued a “Dear CEO” letter raising concerns that regulated firms might not be adequately identifying and mitigating market conduct risks.

AQMetrics Regulatory Round-Up: January 2020

AQMETRICS Regulatory Reporting Round-up January 2020

5 Takeaways from Adminovate 2020

The Adminovate conference, at Trinity College Dublin, aims to create the inspiration for innovation in the Fund Administration.

Central Bank of Ireland shares key priorities for 2020 with a focus on conduct regulation, consumer protection and liquidity.

Central Bank of Ireland shares key priorities for 2020 with a focus on conduct regulation, consumer protection and liquidity.

ESMA’s Latest Alternative Investment Fund Study Intensifies Focus on Liquidity and Leverage

Last Friday ESMA published its second major analysis of the Alternative Investment Fund (AIF) market, with the report shedding further light on the overall AIF landscape.

Stress less: 5 Ways to Get Ahead this Reporting Season

Here are five tips from the AQMETRICS customer success team to help you get a head start on your reporting this month.

ESMA Updates the AIFMD Q&A for Liquidity Reporting Requirements for Closed-Ended AIFs

How AIFMs should report results of liquidity stress tests for closed-ended unleveraged AIFs that they manage.

ESMA Reviews the Impact of Position Limits on Liquidity, Market Abuse, Orderly Pricing and Settlement Conditions in Commodity Derivative Markets.

ESMA together with the European Commission is performing a review on the impact of position limits on liquidity, market abuse, orderly pricing and settlement conditions in commodity derivative markets.

Regulatory Alert: New FCA Rules Governing Open-Ended Funds Take Effect from September 2020

The FCA has finalised new rules governing open-ended funds that invest in illiquid assets.

2019-20 Regulatory Challenges and Safeguarding for the Future

On the 26th September at One Aldwych Hotel, we hosted “2019-2020 Regulatory Challenges and Safeguarding for the Future”

The Impact of CP130 on AIFMs, UCITS, ManCos and Depositaries

Investment Breach Monitoring and NAV errors come under the regulatory spotlight as the Central Bank of Ireland issues CP130.

Much Regulatory Change Afoot for AIFMs and UCITS Funds

We are still at the very beginning of September and already much regulatory change is brewing for AIFMs and UCITS funds.

ESMA Announced That its Newsletter is Back

ESMA has announced that its newsletter is now back.