Liquidity Risk Spotlight: Increased regulatory scrutiny is our biggest threat
Liquidity Risk Spotlight: Inflation & interest rate spikes can cause serious market dislocations & liquidity crunches & regulators worldwide have noticed.
ESG: As COP27 highlights climate urgency, notions of “sustainability” fracture
COP27 can be seen as a microcosm of the challenges and debates that have plagued the concepts of ESG and sustainability since those terms became commonp…
ESG Strategy: Think Regulation, Data, and Budget
Investment managers considering offering ESG strategies need to establish an effective ESG framework and implement a tailored solution with regulation…
Navigating the SEC Marketing Rule: Keyways to Compliance
The new SEC Marketing Rule is accompanied by a detailed, 430-page release & requires advisers to adopt the entire rule all at once by November 4, 2022.
ESG Update for Investment Firms: The Data Problem and E.U. Response
Realistically, E.U. regulatory efforts addressing ESG data (or indeed such efforts anywhere else) face a substantial road ahead before they become effective.
Charting a Path to SFDR Deadlines: Optimizing ESG and EET data collection, quality and reliability
SFDR is progressing towards the 1/1/23 deadline & the industry is in the process of managing & solving a variety of challenges. Here, we provide a brief…
Charting a Path to PRIIPS KID Deadlines: Four Months Left to Make Significant Data, Calculation and Filing Changes
Conversations with firms, fund admins and attorneys have ramped up as the industry prepares for the EU’s new PRIIPs reporting requirements by Jan 1, 2023.
The State of ESG Regulatory Reporting – and What it Means for Market Participants and Investors
Where do the ESG regulatory reporting regimes stand today? And what impacts will they have for market participants and investors?
Are You Ready to Comply with the New SEC Marketing Rule?
With the upcoming deadline of the 4th November, 2022, the new SEC Marketing Rule requires firms to create composites around similarly managed portfolios for performance reference, even if they are not GIPS® (Global Investment Performance Standards) Standards compliant.
Key ESG Strategy Considerations
Having a streamlined ESG strategy in place before relevant regulations go live is key for building and retaining competitive advantages.
ESG Regulations Take Hold in Europe With Other Regions Set to Follow
The EU’s comprehensive sustainable finance action plan aims to mandate that companies integrate ESG risks into their investment management and disclosure
Five PRIIPs Reporting Challenges Asset Managers Need to Know
Time is running out to comply with the EU’s new PRIIPs reporting requirements, and adjust to new formats and content for preparing KIDs by January 1, 2023.