Regulation

Crypto, Robo-Advising, and the Evolving Regulatory Landscape: A Global Perspective for Asset Managers and Insurers

As a London-based firm with a global presence, we understand the rapidly changing reporting challenges facing investment managers and insurance companies. The adoption of crypto-assets and algorithmic tools like robo-advisors is accelerating, driving a wave of regulatory transformation. Compliance today is no longer about meeting static rules—it’s about anticipating dynamic, Read more…

By Diana Marks, 22 hours2025.06.05. ago

Data Management Form PF Fund Reporting Regulation

Navigating Regulatory Reporting: The Ongoing (Form PF) Implementation Challenge

Two weeks ago, we reminded private fund managers that the extended Form PF compliance deadline (June 12, 2025) was fast approaching. Many have spent the past year preparing for XML schema updates, expanded data fields, and new reporting requirements. Yet with only two weeks left prior to the implementation deadline, the industry Read more…

By Diana Marks, 7 days ago

Data Management Form PF Fund Reporting Regulation

Attention Private Fund Advisers: Deadline Approaches for Incorporating Changes to Form PF

The SEC and CFTC’s extended compliance date (June 12, 2025) for the recent Form PF amendments is now only one month away. This extension provided additional time for private fund advisers to implement the necessary operational and technological changes required under the updated Form PF reporting framework. 𝗞𝗲𝘆 𝗖𝗵𝗮𝗻𝗴𝗲𝘀 𝘁𝗼 Read more…

By Diana Marks, 3 weeks2025.05.13. ago

Fund Reporting PRIIPs Regulation

Regulatory Guidance Update

The European Supervisory Authorities (ESAs) have released an updated version of their consolidated Q&As on the PRIIPs Key Information Document (KID), dated 5 May 2025. Regular updates to the Q&As ensure that market participants are provided with clear guidance on requirements. This update introduces clarifications affecting packaged retail and insurance-based Read more…

By Diana Marks, 1 month2025.05.06. ago

AIFM Fund Management Regulation Risk Management

New ESMA Guidelines & RTS on Liquidity Management Tools (LMTs) for UCITS and Open-Ended AIFs

On 15 April 2025, the European Securities and Markets Authority (ESMA) published its final report on the Guidelines for Liquidity Management Tools (LMTs) of UCITS and open-ended Alternative Investment Funds (AIFs), along with draft Regulatory Technical Standards (RTS). These updates are part of the broader AIFMD II and UCITS Directive amendments Read more…

By Diana Marks, 1 month2025.05.02. ago

ESG Fund Reporting Regulation

ESMA’s Final Report on ESG Disclosures Under BMR: What Asset Managers Should Know

On April 9, 2025, the European Securities and Markets Authority (ESMA) released its Final Report on the Common Supervisory Action (CSA) concerning ESG disclosures under the EU Benchmarks Regulation (BMR). Conducted alongside national regulators, the report evaluates how benchmark administrators are applying the BMR’s ESG disclosure requirements—and offers insights that Read more…

By Diana Marks, 1 month ago

Form PF Fund Reporting Regulation

Form PF Amendment Deadline Extended

The Securities Exchange Committee (SEC) has issued a joint statement with the Commodity Futures Trading Commission (CFTC) to extend the required date of compliance with upcoming changes to Form PF. Impacted firms will now have until 12 June, 2025 to comply with the amendments. 𝗜𝗺𝗽𝗮𝗰𝘁𝗲𝗱 𝗳𝗶𝗿𝗺𝘀 The changes affect SEC-registered Read more…

By Diana Marks, 4 months2025.02.05. ago

Data Management ESG Fund Reporting Regulation

Key Regulatory and Investment Data Reporting Trends to Watch in 2025 for Asset Managers and Insurance Investment Firms

As we head into 2025, asset managers and insurance investment firms face a landscape shaped by evolving regulations and new reporting requirements. We’ll be watching several key factors likely to influence their operations and strategic decisions. Investment Data Transparency: There’s growing emphasis on improving transparency in investment data, including ESG, Read more…

By Diana Marks, 5 months2025.01.06. ago

Data Management iQuant Regulation

Announcing Our New U.S. Subsidiary: Bringing Fresh Perspectives and Localized Expertise to the U.S.

Announcing Our New U.S. Subsidiary: Bringing Fresh Perspectives and Localized Expertise to the U.S. We are thrilled to announce the opening of our new U.S. subsidiary, marking a major milestone in our journey to serve clients in the asset management, insurance, and finance industries. For years, our firm has specialized Read more…

By Diana Marks, 7 months2024.11.04. ago

Form PF Fund Reporting Regulation

Draft XML for Form PF Amendments published

As the new rules of the Form PF amendments will come into force on March 12, 2025, the FINRA (“Financial Industry Regulatory Authority”) has published an early draft of the new Form PF XML schema, including a sample XML file. The draft can be found under the following link: https://iard.com/future-pfrd-releases. Read more…

By Alexander Ehmann, 7 months2024.10.30. ago

FinDatEx Regulation Solvency II

Important Update for GPs and LPs: New Private Debt Fields Introduced in TPT V7

FinDatEx has released TPT V7 for public consultation, open until October 15th, 2024. This latest version brings key updates, including new fields for expected maturity dates and enhanced representation of Payment in Kind (PIK) features, among other important changes. These improvements are especially significant for GPs and LPs managing private Read more…

By Alexander Ehmann, 9 months ago

Form PF Fund Reporting Regulation

New Amendments to Form PF Reporting

On February 8, 2024, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly adopted amendments to Form PF. Form PF is a reporting form similar to the European AIFMD Annex IV used by SEC-registered private funds such as hedge funds or private equity funds. The Read more…

By Alexander Ehmann, 1 year2024.05.28. ago

ESG PRIIPs Regulation

Voting on the Proposal for the Modernisation of PRIIPs KIDs

Last week the European Parliament voted on the proposal for the modernisation of the key information document. This means significant changes in the PRIIPs KIDs regulation are on their way. The main target of the regulators is to strengthen the comparability between different products for retail investors as well as Read more…

By Alexander Ehmann, 1 year2024.04.05. ago

Fund Reporting PRIIPs Regulation

Annual PRIIPs KIDs update

It is commonly known that the UCITS KIIDs need to be updated every year within the first 35 business years of every new year. Last year the PRIIPs KID replaced the UCITS KIID, but same as before, also the PRIIPs KID needs an annual update according to the regulation. There Read more…

By Alexander Ehmann, 1 year2024.02.09. ago

ESG Regulation SFDR

ESMA Statement on Guidelines on Fund Names using ESG Terms

Last week ESMA published an update on the proposed guidelines on funds’ names using ESG or sustainability-related terms. The goal of this upcoming regulation is to further avoid greenwashing of fund investments. As many funds are using ESG-related fund names, the regulators aim to provide clear rules for the usage Read more…

By Alexander Ehmann, 1 year2023.12.22. ago

Regulation Risk Management Solvency II

Solvency II Review: Impact on Capital Charges for Securitisations

After the 2008 financial crisis, where ABS securitisations had a major impact on the market downturns, several new regulations were implemented to avoid unpredictable risks. Overall, this led to significant volume drops in the securitisation market. With the first introduction of Solvency II, the regulation divided securitisations into 3 categories Read more…

By Alexander Ehmann, 2 years2023.12.01. ago

Data Management Regulation Solvency II

Infrastructure Investments under the Solvency II Regime

Infrastructure investments have become an increasingly attractive asset class for insurance companies operating under the Solvency II regulation. Solvency II, implemented in 2016, aims to standardize and strengthen the regulation of insurance and reinsurance companies within the European Union (EU). It introduced a risk-based approach, emphasizing the need for insurers Read more…

By Alexander Ehmann, 2 years2023.10.06. ago

AIFM Data Management Regulation

ESMA AIFMD Q&A Update

Last week ESMA published an update of the AIFMD Q&A which contains a new section called XVI “Exemptions”.

By iquant_admin, 2 years2023.03.16. ago

Fund Reporting MiFID II Regulation

New EMT V4.1 Draft published!

FinDatEx has published the draft European MiFID Template (EMT) V4.1 for public consultation that covers the new requirements under the UK Consumer Duty regulation.

By iquant_admin, 2 years2023.03.09. ago