Compliance & Regulation

November 22, 2016
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John Schneider on the Compliance Crossroads
October 20, 2016
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Alpha’s latest view on regulatory reporting

Increased responsibilities for asset managers are driving complexity and new approaches

October 12, 2016
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Andrew Glessing quoted in Ignites Europe commenting on Mifid II
September 28, 2016
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Senior Managers and Certification Regime

Increased responsibilities for asset managers

September 28, 2016
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John Schneider presents his view on Compliance 2.0

John Schneider presents his view on Compliance 2.0

September 20, 2016
Case Studies
Best Execution Review

Aiding a Global Asset Manager to review their best execution operating model to identify ‘gaps’ to current regulations, forthcoming MiFID II requirements, and industry best practice

July 20, 2016
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The DOL Fiduciary Rule: The Need to Act Now
July 11, 2016
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Best Execution under MiFID II
June 27, 2016
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PRIIPs: The challenge for asset managers
June 15, 2016
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Nick Fienberg talks to The Trade on the data impact of MiFID II