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Jeremy Davies, RSRCHXchange

Eighty five per cent of asset managers expect to comply with MiFID II in Q4 or later, says RSRCHXchange

Thu, 22/06/2017 - 10:04

A new survey by RSRCHXchange shows a significant slippage in terms of timing for MiFID II compliance, with the vast majority of asset managers leaving this until Q4 or later, despite the regulations coming onto effect in January 2018. »

Charles Gillanders, Quintillion

Getting to grips with regulatory reporting

Wed, 21/06/2017 - 18:09

Regulatory reporting has become a critical component of running an alternative investment fund. This requires well-developed data sourcing and data management processes to help ensure that fund managers remain compliant.  »

Lars Dijkstra, Kempen Capital Management

Kempen Capital Management to absorb investment research costs

Mon, 19/06/2017 - 09:26

Beginning in 2018, Kempen has decided to cover external investment research costs as part of its strategy to comply with MiFID II. These costs however may still be passed on to clients under strict conditions. »

Peter Moss, SmartStream

The SmartStream RDU steams ahead with a fully integrated reference data service for MiFID II

Wed, 14/06/2017 - 17:54

The SmartStream Reference Data Utility (RDU), founded by Goldman Sachs, JPMorgan Chase, Morgan Stanley and SmartStream, has launched a new Markets in Financial Instruments Directive II (MiFID II) reference data service, enabling financial organisations to more easily meet regulatory requirements, which go live in January 2018. »

Pedro Fernandez, Research Pool

ResearchPool launches MiFID II solution

Tue, 13/06/2017 - 10:28

Investment research platform ResearchPool has launched an MiFID II solution for investment firms to manage budget, spending, consume and evaluate research, named Tool for Research Usage and Evaluation (TRUE). »

Gurvinder Singh, Indus Valley Partners

Indus Valley Partners launches new MiFID II regulatory reporting service

Tue, 13/06/2017 - 10:09

Indus Valley Partners (IVP), a provider of services and solutions to alternative asset managers, has launched a new regulatory filing service for the Markets in Financial Instruments Directive II (MiFID II). »

Christian Nentwich, Duco

NEX Regulatory Reporting to employ Duco Cube for MiFID II reconciliation solution

Wed, 07/06/2017 - 10:23

NEX Regulatory Reporting is to use Duco’s technology to provide MiFID II reconciliation to the firm’s clients. »

EU flag

ESMA sets out principles on supervisory approach to relocations from the UK

Wed, 07/06/2017 - 09:55

The European Securities and Markets Authority (ESMA) has published an opinion which sets out general principles on supervisory approach in relation to relocations of entities from the United Kingdom (UK) to the remaining 27 EU members states (EU27).  »

Cordium launches solution to help firms comply with the Criminal Finances Act

Tue, 06/06/2017 - 10:13

Cordium, a provider of governance, risk and compliance services, has launched a solution to help firms adapt to the new requirements of the Criminal Finances Act, set go into effect in September 2017. »

Approved stamp picture

MAS approves Tai United as Registered Fund Management Company

Tue, 06/06/2017 - 08:45

Tai United Holdings Limited’s indirect wholly-owned Singapore-based subsidiary Tai United Asset Management has been approved by the Monetary Authority of Singapore (MAS) as a Registered Fund Management Company (RFMC) under the Securities and Futures (Licensing and Conduct of Business) Regulations to officially carry on fund management business in Singapore. »


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