Tag Archives | AIFMD

UK Regulator Clarifies Position for Non-EU AIFMs

The UK Financial Conduct Authority (FCA) has amended its rules on Annex IV reporting following consultation during 2016. The amendments, which were published on 25th January 2017, will affect all non-EU Alternative Investment Fund Managers (AIFMs) that market Alternative Investment ‘Feeder’ Funds in the UK under the UK’s national private placement regime.  Annex IV reporting is […]

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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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Bucking the Trend

PF, PQR. UCITS V.  N-MFP.  AIFMD.  MMIF.  N-PORT. In the wake of the financial crisis, there has been a long list of new rules and requirements for investment companies to deal with, most of which are designed to accommodate systemic risk in one way or the other. For some it is via enhanced data reporting […]

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AIFMD Passporting Debate Continues as National Private Placement Regimes get a Reprieve

On 30th July, after much anticipation and a one-week delay, ESMA has released its advice and opinion to the European Parliament, the Council and the Commission in relation to the functioning of the EU’s Alternative Investment Fund Managers Directive (AIFMD) fund distribution passport. Interested parties eagerly digested the material and the media output that followed […]

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Third Countries Bullish for Passport to Europe’s €15.5 Trillion Asset Management Market

Back in December 2014, Paul Soltis provided us with a timely update on the transposition and implementation of the Alternative Investment Fund Managers Directive (AIFMD) and finished off by alluding to the round of talks scheduled for 2015 in relation to the distribution of non-EU AIFs within Europe under the existing cross-border marketing passport regime […]

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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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Featured Guest Blog: GRMA Shares Key Takeaways from the SEC’s Form PF Report to Congress

Confluence has entered into a strategic collaboration with Global Risk Management Advisors (GRMA), a leading investment risk management advisory and implementation firm providing asset managers and institutional investors with complete, independent, institutional-quality risk management solutions as a managed service. One of the key focus areas of GRMA’s risk management services is on all aspects of […]

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