House Views

House Views

House Views

Commercial Opportunities in MiFID II: A glib sign-off, or unexplored value for wealth firms?

12 June 2017

Commentary on MiFID II generally focuses on the legislation itself, rather than the specific impacts to firms and solutions to address them. Some authors, this one included, have commented on the ability of firms to benefit from a successful and thoughtful implementation approach. In the real world however, are such opportunities unicorns, or are they actually achievable? In this House View, we have tried to identify three, material examples to move MiFID II from a burdensome compliance cost to an investment in your business.

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Should Traditional Asset Managers Look at Hedge Fund Systems for Use as an Investment Book of Records?

21 March 2017

For the past twenty years, there have been two very distinct markets for asset management systems: those designed to support traditional asset managers and those for hedge fund managers.

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GDPR - Getting Ready

17 February 2017

On 25th May 2018 the EU General Data Protection Regulation (GDPR) will come into effect in the UK and Asset and Wealth Managers should be taking steps now to ensure they're ready.

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FCA Asset Management Market Study Interim Report

03 January 2017

The FCA Market Study Interim Report has asked searching questions about numerous aspects of the industry, making some uncomfortable reading for asset managers and investment consultants. It has also pointed to the potential for other similar investigations singling out vertically integrated platform businesses.

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Compliant suitability: Still elusive, still urgent

14 November 2016

The predominant responsibility of a wealth manager is to deliver suitable and appropriate advice to their clients. Why then is the FCA, five years after making it a central aspect for review and guidelines, still finding fault with suitability?

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