April 27, 2010
I see a few interesting developments on the horizon with respect to data and the various financial regulation bodies.
I have kept my musings deliberately brief – if anyone is looking for more in depth commentary let me know and I will do a follow-up post on that topic…
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Data Quality, Regulation | Tagged: 12b-1, 2(a)-7, 40 act, accuracy, asset management, breaking the buck, canada, CESR, client reporting, compliance, CSA, data, Data Quality, fee reform, financial regulation, FINRA, fund facts, fund rules, ific, Ignites, investment companies act 1940, Key Information Document, KID, marketing, Mary Schapiro, middle-office, MiFID, money market, Morgan Keenen, point of sale, RDR, Regulation, regulator, reporting, retail distribution review, SEC, transparency, UCITS, UCITS III, UCITS IV, UK, US |
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Posted by Ronan Brennan
April 1, 2010
As promised in the previous post, here is a synopsis of the second panel I sat on at TSAM recently.
The discussion centered on the changing shape of regulatory requirements and the implications for the buy-side – with specific emphasis on the following points;
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Data Quality, Event, Regulation, Technology | Tagged: accuracy, asset management, audit trail, automated, automation, buy-side, CESR, client reporting, consistency, control, Data Quality, EMD Council, FINRA, fund, funds, Geoff Fensome, institutional accounts, investment product master, investment products, Investment Solutions Consultants LLP, ISC, JWG Group, Key Information Document, KID, KYC, MiFID, Mike Atkin, PJ Di Giammarino, RDR, Regulation, retail funds, SEC, SMA, systematic, timeliness, transparency, TSAM, UCITS III, UCITS IV |
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Posted by Ronan Brennan