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Recent Posts

Keeping Up with the Digital Revolution: Your Reputation is on the Line!

By James Hoey

It is becoming more and more evident that the wealth and asset management industry is going through a digital transformation. Changing technology is making space for a new breed of digital competitors with innovative solutions aiming to disrupt the industry. Increasingly, clients are demanding and expecting online tools and mobile functionality to be part of their online user experience along with a seamless customer experience.

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ESMA consulting on sustainability risks in product governance and suitability

By Mikkel Bates

While much attention since MiFID II came into force a year ago has been on cost disclosure, the European regulator ESMA has published two consultation papers (CPs) on integrating sustainability risks and factors in MiFID II, tightening up on suitability of advice, and in UCITS and AIFMD, incorporating them in product governance.

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FCA’s Temporary Permissions Regime opens for business

By Mikkel Bates

Following its CP18/29 at the end of last year, the FCA has now opened its doors to firms and funds from Europe to register their intention to apply for full UK authorisation following Brexit.

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The funds that have piqued adviser interest in 2018

By James Hoey

2018 is drawing to a close so now is time to take a look back at the year gone by to see what facts and figures have emerged. In order for asset managers to better connect with advisers and understand their investment decisions, it’s crucial that we look at how advisers are behaving and why that may be.

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Q&A with FE Head of Data at FE, Rob Botha

By James Hoey

We asked Rob Botha, Head of Data at FE, how FE helped the European Fund and Asset Management Association (EFAMA) to boost transparency.

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ESMA Securities and Markets Stakeholder Group (SMSG) responds to PRIIPs consultation paper

By Mikkel Bates Regulations

ESMA’s SMSG – its own panel of advisers, made up of industry participants, consumers and academics – has published its advice to ESMA on the proposals in the PRIIPs Consultation Paper, JC 2018 60, and it doesn’t pull any punches.

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ECON calls for two-year extension to UCITS exemption from PRIIPs KIDs

By Mikkel Bates Regulations

In the middle of the European Supervisory Authorities’ (ESAs) consultation on PRIIPs KIDs, there was cross-party agreement in the European Parliament’s Economic and Monetary Affairs Committee (ECON) that the target date for UCITS to publish PRIIPs KIDs should be extended by two years, from December 2019 to 2021.

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PRIIPs KIDs annual review

By Mikkel Bates Regulations

One of the few positive things that can be said about PRIIPs KIDs is that, unlike UCITS KIIDs, they don’t all need to be updated during the same short window at the start of every year.  So PRIIPs providers can stagger their workload throughout the year, carrying out their annual reviews after their funds’ accounting dates, possibly.

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Against the odds: funds that sailed through the last decade to top the charts

By James Hoey

Lehman Brothers collapsed a decade ago. It was a key milestone in the global financial crisis, teaching investors a painful lesson that nothing is too big to fail. A lot has happened since then and anybody you ask will tell you it’s been a tough decade all round, both on political and economic fronts. In addition to the global financial crisis, the period also witnessed the European debt crisis which has had a significant knock on effect for the countries in Europe. Political events such as the Brexit referendum in 2016 led to further uncertainty in the region.

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Confusion over the demise of UCITS KIIDs and the future of PRIIPs KIDs

By Mikkel Bates Regulations

The European Supervisory Authorities (the ESAs, made up of ESMA, EBA and EIOPA), have published a series of letters between them and the European Commission (EC), over the proposed ending of the exemption for UCITS KIIDs at the end of 2019.

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