Tag Archives | regulation

Need the Form N-PORT XML Schema?

Get Ready to Wait.

As SEC Reporting Modernization moves from planning to preparation, one persistent gap in those plans – and an issue at the top of everyone’s concerns – is the release of the Form N-PORT XML Schema. XML is data that has been assigned standardized tags that denote the meaning of each data item. It is what […]

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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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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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Regulation and Technology: How the Funds Industry Needs to Adapt, and Soon

  Originally published in the November 2014 issue of Wealth & Finance International Following my participation in Bloomberg’s Winning Strategies and Market Liquidity Conference in London this past fall, I am exploring here some of the challenges the asset management industry faces and what it should do to turn these challenges into opportunities. As I […]

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Before & Beyond MiFID II

I recently spoke at Bloomberg’s Winning Strategies and Market Liquidity  Conference in London. In my Key note speech one of the topics I covered was how regulation is set to change the asset management industry, specifically looking at Markets in Financial Instruments II (MiFID II). This blog is based on my speech and explores MiFID […]

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