Regulatory Parallel Play

Regulatory Parallel Play

An update on worldwide regulatory trends at the 25th annual Globalisation of Investment Funds Conference, organized by the International Bar Association and co-sponsored by NICSA.

NICSA News Monthly | July 2013

NICSA News Monthly | July 2013

Here’s our recap of the stories that mattered to operations professionals in the investment industry last month.

Coping with the recent regulations | Tips and checklists

Coping with the recent regulations | Tips and checklists
Hot topics abound on the regulatory side, including proposed rule changes and enforcement actions. How can fund companies prepare? Speaking at the NICSA Annual Conference in February about “Regulatory Hot Topics,” panelists from Cipperman & Associates, Reed Smith, and Fidelity Investments shared the following thoughts and tips: Proposed MMF reforms are solutions in search of a problem: If you drive up costs and reduce yields, the money can and will go elsewhere.

Day 2 recap | NICSA Annual Conference

Day 2 recap | NICSA Annual Conference
8:00 am came early on Tuesday at the NICSA Annual Conference!  The day started with the always popular breakfast round tables featuring informal discussions on topics such as FATCA, Escheatment, Website best practices and more. 

NICSA News Monthly | February 2013

NICSA News Monthly | February 2013
Here’s our recap of the stories that mattered to operations professionals in the investment industry last month. From NICSA AIFMD 101. A SlideShare introduction to the new hedge fund regulations in Europe, co-authored by our partner ALFI, the Luxembourg fund industry association (below).

NICSA News Monthly | January 2013

NICSA News Monthly | January 2013
Here’s our recap of the stories that mattered to operations professionals in the investment industry last month. From NICSA Learning to love the AIFMD. In a post co-authored by our partner association ALFI in Luxembourg, we talk about the global implications of new hedge fund regulations in Europe.

What, me worry about FATCA?

What, me worry about FATCA?
It’s not immediately clear why the Foreign Account Tax Compliance Act is such a big deal for mutual fund managers. U.S. mutual funds don’t have many foreign financial institutions as shareholders, which means that they simply don’t have a lot of exposure to the offshore tax evasion that FATCA is designed to prevent.

Take the FATCA quiz

Take the FATCA quiz
FATCA is one of the most important pieces of tax legislation to come along in years — and prepping for compliance with its provisions has become a major project for operations professionals in the fund industry.

11 hot topics in regulation for 2012

11 hot topics in regulation for 2012
The rapid pace of regulatory change in the U.S. investment industry shows no sign of letting up in 2012. In the NICSA webinar, “A Review of the Regulatory Landscape,” held on January 25, 2012, we took a quick look at the hottest topics for the coming year.

7 hot topics in European funds . . . in translation

7 hot topics in European funds . . . in translation
Reading about trends in the European mutual funds can give us industry professionals here in the U.S. a bit of a through-the-looking glass feeling. Our counterparts on the other side of the Atlantic seem to be talking about the same things we are — sort of.

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