Nicola Le Brocq - Director, Reporting Solutions

Nicola is the Director of Reporting Solutions at Axioma. A Chartered Fellow of the Chartered Securities & Investment Institute and an ex-regulator with 18 years of financial services regulatory experience, Nicola has an in-depth understanding of US and European regulatory framework. She has targeted experience regulating various fund structures, fund service providers and implementing new regulatory policy to govern alternative investment funds and managers.

 

Since moving into industry, Nicola has provided regulatory consultancy services to the asset servicing / asset management industry. She acts as subject matter expert on regulatory reporting and risk frameworks and regulatory technology.

Most recent articles by Nicola Le Brocq

Your SEC modernization road map: The latest on Filing N-PORT and N-CEN

We’ve analyzed documentation and specifications related to SEC modernization and provided a synopsis of key items relating to filing N-PORT.

Posted 09.13.17 Nicola Le Brocq

Sailing into N-PORT

Today’s registered investment companies (RICs) and ETFs face a navigational issue with the new Form N-PORT filing requirement.

Posted 08.15.17 Nicola Le Brocq