All regulation news

State Street: firms ‘unprepared’ for UMR compliance

21 September 2020 Boston
Reporter: Rebecca Delaney

81 percent of asset management firms are unprepared to comply with the Uncleared Margin Rules despite deadline extensions to September 2021 and September 2022, according to a new survey by State Street

Smith & Williamson selects Broadridge’s SRD II solution

15 September 2020 New York
Reporter: Maddie Saghir

Broadridge is set to provide Smith & Williamson Group, a financial and professional services firm in the UK and Ireland, with its SRD II solution for proxy voting

Instant Actions addresses data risks related to SRD II

11 September 2020 London
Reporter: Maddie Saghir

SRD II, which came into force on 3 September, requires firms providing share custody to disclose client identities and positions when requested to do so by issuers

Kaizen acquires MDM Compliance Systems as disclosure service

08 September 2020 London
Reporter: Rebecca Delaney

Kaizen Reporting has acquired MDM Compliance Systems, a provider of shareholding disclosure management, monitoring and reporting solutions

SmartStream launches derivatives registry service ahead of MiFID II deadline

08 September 2020 London
Reporter: Rebecca Delaney

SmartStream Technologies has launched a derivatives component for its systematic internaliser registry service, which is designed to help clients meet the 15 September deadline for the second Markets in Financial Instruments Directive

CSDR: ICMA calls for the removal of the requirement to appoint buy-in agent

07 September 2020 London
Reporter: Maddie Saghir

In a briefing note, ICMA outlined that as part of the broader review of the CSDR mandatory buy-in framework, the requirement to appoint a buy-in agent should be removed

Opinion: AIFMD Review

07 September 2020 London
Reporter: Guest Writer: Tony Freeman

At first glance, last week’s publication of a letter about AIFMD from ESMA to the EC doesn’t seem like big news. Isn’t AIFMD a somewhat obscure piece of legislation that is a minority interest? Not really