Archive | European Fund Industry

Closet Index Funds – Caveat Emptor or Caveat Venditor?

Ever since the first index mutual fund was launched 40 years ago, the debate between passive and active advisors has raged. The fees for active management are significantly higher than the fees for passive management. Which is as it should be, since active managers earn those fees by providing above market returns, right? Well, some […]

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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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Insurers Next in Line for Regulatory Scrutiny

Regulatory challenges faced by the financial industry continue to expand with insurers next in line to face an increased focus on report preparation and risk analysis.  Under Solvency II, article 132 of the directive requires companies to invest only in assets and instruments that can be properly identified, measured, monitored, managed, controlled and reported. Meeting this […]

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UK Authorities Grant Much Needed Extension for AIFMD Authorisation Filing

Good news for AIFMs that have been struggling to meet the 21st January AIFMD authorisation application filing deadline set by the UK Financial Conduct Authority (FCA) and Her Majesty’s Treasury (HMT)!  The FCA has deferred the deadline to 22nd July.  AIFMs now have until the 22nd of July to file their applications where the previous July deadline was […]

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AIFMD Forces Asset Managers to Focus on Their “True Intentions”

As I travel through Europe meeting with asset managers, it is apparent that many are unprepared to face the challenges that AIFMD will impose across the financial services industry. Asset managers must face the fact that they may need to temporarily close their Alternative business operations if they have not received approval by their respective […]

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