Authorised corporate directors face regulatory scrutiny following Woodford fund saga
The UK FCA is set to open an assessment of authorised corporate directors following the fallout of the Neil Woodford fund affair.
Regulation
Deutsche Boerse plans CSDR-related buy-in agent service to plug market gap
Incoming regulation requires a third-party buy-in agent in cases of settlement fail.
ESG monitoring services will help depositaries diversify
Depositaries role of fund oversight could prove to be a useful boost to the ESG investment process.
Regulators delay final phase to uncleared margin rules
The final phase would of enforced thousands have asset managers, hedge funds and insurers from September 2020.
What are the potential long-term effects of the Woodford saga on UCITS?
The laissez-faire approach to UCITS principles has riled market regulators following the recent saga with Neil Woodford's flagship fund, which could have long-term consequences on the funds industry.
Talking points from Fund Forum 2019
The biggest topics from four days at Fund Forum in Copenhagen, including the threat of passive investing to active asset managers, ESG, blockchain and the fallout from Neil Woodford’s fund suspension.
Firms unprepared for internal settlement reporting in next phase of CSDR
This rules will require firms that are taking on settlement themselves, and not through a CSD or sub-custodian, to report data on a quarterly basis.
Large funds facing up to SFTR requirements before their go-live date, says DTCC
LEI and UTI information will be required ahead of the SFTR deadline for large funds, according to an industry expert.
Major banks onboard to DTCC for SFTR reporting
Three tier one banks sign up to DTCC's global trade repository (GTR) service for SFTR.
ESMA releases long-awaited consultation on SFTR
Industry welcomes consultation paper which addresses which securities financing transactions will be reportable for incoming regulation, among other aspects.