Best of 2016: Another Year of Regulatory Changes and Challenges

Date: December 12, 2016

2016 Wrap Up

As 2016 comes to a close, it’s a good time to have a look back at the blogs that resonated highly with our readers. In all three of our most-read blog posts for 2016, our experts addressed some of the highest hurdles the asset management industry has had to face during the past 12 months.

  1. The Point of Fixed-Income Attribution

Back in March, with the looming retirement of the Barclays Point risk analytics platform in sight, Philippe Grégoire outlined some points to consider when selecting a new technology partner for fixed-income attribution. From data governance to management control, he explains the critical functionalities a fixed-income attribution tool should have in order to contribute to the asset management value chain.

  1. If You Thought the SEC did You a Favor with T+1, You Might Be in for a Surprise

More recently, Paul Soltis reacted to the finalization of the SEC’s Investment Company Reporting Modernization, which requires Form N-PORT reporting to be on a T+1 basis. Using T+1 data for N-PORT reporting was requested by the industry, but is in fact more challenging than expected.

  1. MiFID II—Top Four Considerations for a U.S. Manager

And somewhere in between, Nicola Le Brocq discussed a number of considerations U.S. managers offering discretionary or segregated account portfolio management should be aware of. While they are not directly in scope for MiFID II, much the same as when the Alternative Investment Fund Managers Directive (AIFMD) came into force, it is important to understand what processes, conflicts with U.S. rules, distribution and relationships U.S. managers should pay attention to.

And while you are at it, consider subscribing to our blog feed for more insight in the coming year. We’ll see you back here 2017.


To learn more about 13f-2 watch our webinar replay Part 1: Unpacking the SEC's New Disclosure Rules for Shareholders
Join us for Part 2: Operationalizing the SEC's New Disclosure Rules, for Shareholders on December 12.