Nicola Le Brocq - Director, Reporting Solutions

Nicola is the London-based 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 with an in-depth understanding of US and European regulatory framework. Nicola has provided regulatory consultancy services to the asset servicing / asset management industry and acts as a subject matter expert on regulatory reporting and risk frameworks and regulatory technology.

Most recent articles by Nicola Le Brocq

Crisis Averted! Really?

What caused the financial crisis? Does anyone actually know? Was it lack of regulation or de-regulation? Or, was it lack of understanding of the significance and the complexity of the securitisation markets?

There have been many thought-provoking articles on the ‘financial crisis - 10 years later’ subject.  Scholars, agencies and journalists write of the great remedial achievements and of the flaws ...

Posted 10.09.18 Nicola Le Brocq

Everything You Need To Know About the New PRIIPs Directive

The PRIIPs was introduced on 1st January 2018. Six months later, we take a closer look at how this regulation impacted the market and investors.

Posted 05.30.18 Nicola Le Brocq

What is the total cost of ownership of regulatory reporting?

The upside to greater regulatory oversight is more transparency and reporting standardisation; but at what cost? 

Posted 04.01.18 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