Asset Management Systems Insights


How MiFID II could help boost your bottom line

22nd August 2017

Company: IRESS
Complying with regulations and gaining commercial advantage are not always easy bed fellows. So if you are an adviser or wealth manager grappling with the upcoming implementation of the EU’s second Markets in Financial Instruments Directive (MiFID II) the first response may be to think of it as yet another drain on time and resources rather... read more

Automatic Exchange of Information and the competitive advantages of good Client Data Management

17th August 2017

Company: BearingPoint
By Silvan Arpagaus - Manager, Iris Grewe - Partner, Ronald Frey - Partner, at BearingPoint Financial institutions are exposed to a greater regulatory pressure on the part of various national and international authorities, especially from Europe and the USA. The Foreign Account Tax Compliance Act (FATCA), the Automatic Exchange of Information... read more

The biggest fintech appointments of 2017 so far Pt.1

16th August 2017

Company: bobsguide
Our roundup of the biggest people moves affecting the fintech industry throughout 2017.  Metro Bank appoints Chief Technology Officer Earlier this month Metro Bank announced the appointment of Martyn Atkinson as Chief Information Officer (CIO). Atkinson is currently director of digital and change at the bank and will take up the... read more

Why wealth managers need to take the lead in financial education

16th August 2017

Company: Kurtosys Systems
There are a huge number of people currently not working, having retired from full-time employment, who don’t have adequate pension pots to allow them to live in comfort. And there are also an awful lot of people who are still working but will be heading for the same future. The age of retirement continues to rise, and while many will have... read more

Evolution and Intelligent Design – a match made in MiFID

15th August 2017

Company: Quintessence
The Quality of Execution provisions of MiFID II apply pressure on both the buy-side and sell-side to provide self-assessment of their execution capacity. Critically, investment firms will be required to answer hard questions about their allocation of trades between markets and brokers. These questions require a formal response. While it is tempting... read more

WORM compliant storage in the cloud: Putting the finance industry on Cloud 9

14th August 2017

The financial industry remains one of the largest and most highly scrutinized and regulated industry’s in the world.  In the U.S. alone FINRA, a not-for-profit organization authorized by Congress to protect America’s investors, keeps watch over 632,740 brokers representing over 3,800 broker-dealer firms. In 2016, FINRA referred 785... read more

Regulatory milestones: How the countdown to 2018 and MiFID II has already begun

14th August 2017

This feels nothing like the time before MiFID I went live, but in essence it is a similar upgrade to instrument reference data as it was then. In the period before EMIR went live, Euromoney TRADEDATA collaborated with the then FSA to create a fit-for-purpose AII (Alternative Instrument Identifier) data set for certain EU markets; a data set that... read more

MiFID II Client Reporting: Focus on more than just regulatory reporting

9th August 2017

Within MiFID II, the EU determines the operating conditions for investment firms and defines provisions to ensure investor protection, including the requirements for pre-trade (or ex-ante) cost information. Institutions have to provide cost information to the client in advance, encompassing not only the transaction costs but also the... read more

MiFID II fallout: Why progress on price discovery is needed

4th August 2017

In less than six months’ time, asset managers will be unable to receive investment research unless a commercial agreement is in place. MiFID II clearly stipulates investment research will need to be explicitly priced and cannot be linked to the volume or value of transactions executed by the broker – in other words, research charges... read more

Alternative investment sector compliance in a rapidly changing cybersecurity landscape

27th July 2017

Company: RFA
There are a number of priorities that firms in the alternative investment sector must attend to, but in today’s increasingly cyber environment, the biggest must be cybersecurity. Following closely behind, is compliance with mandatory regulations. The two priorities are often intrinsically linked, and should be approached as one. But where... read more