Regulatory Reporting

Are You Ahead of the Curve? Staying Compliant with the MMF Regulation Amid Geopolitical Risks and the Search for Yield

The Money Market Fund (MMF) Regulation poses some of the latest operational hurdles faced by the asset-management industry in Europe in 2020.

Posted 04.09.20 Hristo Dilov

N-PORT Requirements for Small Entities: Time to Start Filing is Near

In June 2018, the SEC began to require large registered investment companies to report their monthly position holdings under Form N-PORT. It’s time for smaller companies to follow suit.

Posted 02.07.20 Jinyan Li

What to Expect from the SEC in 2019…

The SEC continues to use technology and human capital to stay ahead of not only systemic risks, but the risks to which all investors are exposed.

Posted 02.04.19 Axioma

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