Regulatory Round-up: October 2021
Welcome to the Funds-Axis Regulatory Round Up! This month’s regulatory round-up includes updates from: The FSB on Money Market Fund reform proposals The Central Bank of Ireland with amendments to…
FCA International RegTech collaboration Webinar
RegTech is growing in usage around the world and through our efforts within the Global Financial Innovation Network (GFIN) with 60+ regulatory members around the world, we are looking to…
FCA RegTech research on incumbents’ perspectives Webinar
As part of our engagement with the RegTech ecosystem, we have commissioned research to explore what large, incumbent financial service firms in different sectors (e.g. retail, asset management, etc.) perceive…
Overhaul Global Shareholder Disclosure Rules – Part 1
In July, the SEC announced proposed amendments to 13F Reporting, to update the reporting threshold for institutional investment managers, as well as a number of other ancillary changes. The major…
Further Liquidity Regulatory Scrutiny Needed
Last month it was great to see a number of key liquidity developments finally enter into force, including: ESMA’s new guidelines on liquidity stress testing in UCITS and AIFs The…
Ignorance is not bliss – a timely reminder that derivatives ARE included!
Yesterday, the Financial Conduct Authority (FCA) fined a Hong Kong hedge fund just over £870,000 for failing to disclosure its net short position in Premier Oil Plc. This is the…