Archive | Regulatory/Compliance

What the SEC Can Learn About Regulation from Transportation Technology

I recently read an article about computer-driven cars and, ever since, have been fascinated and borderline obsessed by the concept. On the streets of Pittsburgh just outside the doors of Confluence’s corporate headquarters there are Uber cars driving themselves as part of a test to advance this concept of self-driven cars. At some point in the […]

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The Strange Twists and Turns of Politics

“We’ll postpone the vote if, there’s a little confusion here, so we’ll postpone the vote”.  With those words from Chairman Richard Shelby way back on April 7, 2016, the U.S. Senate Committee on Banking, Housing & Urban Affairs delayed consideration of President Obama’s nomination of Lisa Fairfax and Hester Peirce for membership in the SEC.  […]

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MiFID II – Top Four Considerations for a U.S. Manager

The Markets in Financial Instruments Directive (MiFID) came into force during 2007 to facilitate cross-border financial services throughout Europe and foster competition between trading venues via a level playing field. Following the financial crisis in 2008 and during 2011, proposals were set out to revise MiFID. Since the political agreement on the adoption of MiFID […]

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Steady Navigation Can Turn Fund Industry Tidal Waves into Ripples

The convergence of lower interest rates, unpredictable and underperforming markets, and increased consolidation and competition in today’s fund industry has left asset managers scratching their collective heads and wondering how to navigate this endless wave of challenges. Not only must their navigation of the obstacles be flawless, they must best the changing landscape to enable […]

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When Good Intentions Go Bad – Regulators and Cloud

Regulators are often, to quote one of my old bosses when referring to his boss, unencumbered by reality. Their detachment from the practical application of their ideas has been especially apparent in the past few years as Dodd Frank and other post-crisis regulations have come into effect. Just look at what happened with Money Market […]

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REGTECH –The New Paradigm

Recognising the potential for technology to manage regulatory data and improve internal control and compliance.

Of the number of growing trends within the global regulatory arena, monitoring of systemic risk and data driven regulatory oversight are two of the most prominent, and to a certain extent are intrinsically linked. In relation to the latter, data driven/machine readable reporting is gathering momentum at an astonishing pace. The 2008 financial crisis, compliance […]

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Best of 2015: Another year of new regulations, compliance, automation and a drive toward back-office defragmentation.

Before reading our predictions for next year, why not have a look back at our most read blog posts for 2015 where our experts have addressed the regulatory and compliance issues, as well as operational challenges, the asset management industry faced. Regulatory Black Hole On the back of a vote at the U.S. Senate on […]

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