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Regulatory Capabilities

ISC regularly produces articles and White papers through the ISC Chronicle, the list below contains those that are relevant to this topic.

Tax Transparent Fund Solutions - The Fund Administration Challenge The United Kingdom's Tax Transparent Regulated Fund (TTF) vehicle has provoked much discussion in the industry. It offers many benefits, such as fund rationalisation, regulatory consolidation and coping with complexity of distributions as well as allowing multiple withholding tax treatments per investor. The opportunities presented by TTF's for clients led to ISC reviewing both the appetite and provision of operating models to support these new products by the service providers.

MIFID II - The Sequel When Hollywood produces a movie sequel, it's invariably not as good as the original, and is purely made to cash in on the success of the first film. You only have to look at such exploitation fodder as "Crocodile Dundee II", "Speed II: Cruise Control", "Son of the Mask", and the atrocious "Highlander II: The Quickening" to see that. But regulation is a very different matter, and whilst the numbering system might be the same, that is pretty much where the comparisons end. Of course you do wonder where each piece of regulation might stop. UCITS V for example...

Delivering Regulatory Change - Lessons Learned Project Managers used to take great delight in their stock joke 'the only constant is change'. Maybe that should be updated to 'the only constant is regulatory change'. The last few years have seen a wave of regulation wash over the investment management industry with RDR, AIFMD, FATCA, EMIR, KIID, MIFID II and CASS - an alphabet soup of acronyms. Whilst we have to accept that new regulation is a constant, we are hopeful that by applying the lessons that we have learned so far, implementing regulatory change should be less onerous going forward....

The Research Commission Battle So you think MiFID II is just another piece of legislation waiting to be rubber stamped by the European Commission and Parliament? Think again – one the most hotly disputed and potentially high-impact topics for the asset management industry is still very much up for grabs and no one knows the final outcome...

Solvency II - Time is Running Out Any doubts that may have lingered about whether Solvency II would be go live in 2016 have been brushed aside by recent activity by the EU and the PRA (Prudential Regulation Authority). On the 19th March, Solvency II implementation regulations were issued in the Official Journal of the European Union...

Musings on Solvency II – A follow up In the past few weeks, the European directive: Solvency II has made its way to the front page of the broadsheets and lead item on the evening news. Prudential is threatening to relocate to the Far East and the deputy Governor of the Bank of England warning of the increased costs associated with Solvency II and of regulators 'drowning in masses of data'...

Solvency II – The Chinese Blessing Following on from the crisis of 2008, the Investment Management industry has been buffeted by a raft of further regulation and oversight designed to make the industry more transparent and ensure it can face the next wave of market stress, in whatever form that might come. Solvency II is one such initiative...


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