The final regulations of MiFID II announced today are likely to lose brokers business, analysts their jobs and also hit fund managers’ profits says Cleveland & Co Associates, the boutique legal advisory business. Among the new regulations of MiFID II, which are due to come into effect in January 2018,
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. Until a few years ago, there were no formal regulatory reporting requirements on the part of alternative investment managers. Following
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). The new service forms part of the overall regulatory reporting platform known as IVP RAPTOR. MiFID II will
By Nick Bayley (pictured), Duff & Phelps – A few weeks ago I visited South Africa where I met numerous buy-side firms, some with UK or European subsidiaries and some who operated solely out of that country. Apart from the dreaded Brexit, the other question that in came up in
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). ESMA has issued its Opinion in response to increased requests from the
By Ian Kelly, CEO, Augentius – When it comes to data, the headlines in recent weeks have understandably been dominated by the global WannaCry ransomware attack, but that’s not the only data issue that should be on the agenda of private equity fund managers and investors. In a year’s time, the General
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. Introduced by HM Revenue and Customs, the new legislation is intended to prevent the facilitation of tax
The life of the Chief Compliance Officer is not getting any easier with respect to the many regulatory and compliance demands placed on today’s alternative fund management community. Dealing with diverse issues ranging from tax compliance (in the form of FATCA and Common Reporting Standards) to cybersecurity developments and upcoming
Alternatives have become a more mature option for institutional allocators, yet the reporting obligations fueled by the constantly evolving regulatory landscape has become a challenge for a large number of alternative fund managers. Whereas a decade ago, alternative fund managers could get away with basic investor reporting, delivered almost as
By Ras Sipko, KOGER – For the past four years, alternative fund managers with US investors have been coming to terms with the far-reaching effects of the Foreign Account Tax Compliance Act or FATCA. Some 60-plus countries have signed up to cooperate with the IRS in order to enforce FATCA and
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