News & Analysis as of

Investment Management

Fifth Circuit Strikes Down DOL Investment Advice Fiduciary Rules

by Ballard Spahr LLP on

The Fifth Circuit on March 15 vacated U.S. Department of Labor (DOL) regulations that redefined the circumstances in which a person who provides investment advice in connection with a retirement plan or individual retirement...more

Indiana Court of Appeals: Continuous Representation Doctrine Does Not Apply to Financial Professionals

by Reminger Co., LPA on

In a pair of rulings issued within a month of each other, the Indiana Court of Appeals has held that the Continuous Representation Doctrine (the “CRD”) does not toll the statute of limitations for client claims against...more

New AIM Rules in force this month: all AIM issuers must now comply with a recognised corporate governance code

by Hogan Lovells on

The London Stock Exchange (LSE) has announced that its new AIM Rules for Companies (AIM Rules) and AIM Rules for Nominated Advisers (Nomad Rules) will come into force on 30 March 2018. ...more

Eikon App Studio: A powerful tool for internal apps

Eikon App Studio is a single platform for accessing and hosting apps, making it a powerful tool in the delivery of data, analytics and in-house capabilities such as internal apps....more

EC Releases Action Plan on Sustainable Finance

On March 8, 2018, the European Commission (“EC“) released an Action Plan on sustainable finance. The goal of the Action Plan is to provide a strategy on sustainable finance for the EU, and in particular to reorient capital...more

Equity funds still positive despite market volatility

In spite of the volatile climate, equity funds have remained resolute - Despite recent market volatility, figures from Thomson Reuters Lipper show that year-to-date flows and returns for equity funds remain positive....more

Kokesh on Remand: Applying the Statute of Limitations

by Dorsey & Whitney LLP on

In Kokesh the Supreme Court rejected the SEC’s claim that disgorgement is equitable, concluding that as used in agency enforcement actions it is in fact a penalty. The Court also reserved the questions of whether the...more

The Impact of the General Data Protection Regulation on Investment Managers

The new European General Data Protection Regulation (Regulation (EU) 2016/679) (GDPR) will take effect on 25 May 2018. The GDPR expands and clarifies the EU’s existing personal data protection framework. Investment managers...more

How FIX is changing post-trade FX for the sell-side

Post-trade FX activities have been dramatically simplified by the FIX interface, allowing sell-side participants to navigate challenges such as liquidity fragmentation and to reduce total cost of ownership (TCO)....more

ETFs and the predictive power of StarMine signals

As passive ETFs continue their explosive growth, we examine the predictive power of StarMine signals in building profitable trading strategies using country ETFs....more

Record inflows boost European ETF industry

A record month for ETF inflows once again shows that the European industry is dominated by a few funds and promoters, says Detlef Glow, Head of EMEA Research at Thomson Reuters Lipper. The promoters of exchange-traded funds...more

2nd Circ. Raises Bar For US Jurisdiction Over Foreign Banks

On Feb. 9, 2018, the Second Circuit decided SPV Osus Ltd. v. UBS AG , affirming the dismissal of UBS AG and related and unrelated foreign financial management companies from litigation brought by alleged victims of the...more

Wealth management: Meeting high client expectations

The wealth management landscape is constantly evolving. Today’s investors have high expectations, demanding anytime, anywhere access to accounts and information, while expecting frictionless speed of updates and requiring...more

Cybersecurity in the investment management industry

by Ropes & Gray LLP on

Paulita Pike, Ropes & Gray investment management partner, addresses privacy and cybersecurity challenges facing the investment management industry. ---------- Cybersecurity and data privacy are important topics for...more

Quant funds and a trillion dollar question of risk

Quant funds are expected to account for US$1 trillion in assets this year. But when algorithms are managing this money, who manages the algorithms? Computer-powered, data-driven strategies have continued their spectacular...more

Investment Services Regulatory Update - February 2018

by Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Cryptocurrency-related Holdings - On January 18, 2018, the staff of the SEC’s Division of Investment...more

Eikon App Studio: New apps for February

Eikon App Studio has dozens of great apps to try, including these two for gaining financial insight on U.S. companies and for proactively managing your investment portfolio....more

WSGR Fintech Update - February 2018

Wilson Sonsini Goodrich & Rosati is pleased to present the February 2018 issue of the WSGR Fintech Update. This latest edition features an article discussing a letter recently issued by the SEC’s Division of Investment...more

Millennials and why your organization should care about ESG

With sustainable and ethical business practices now key to attracting and retaining top talent, how can organizations ensure their Environmental, Social and Governance (ESG) rating meets the expectations of millennials?...more

Building a data strategy for trading automation

The drive towards automation in trading and investment operations is accelerating the need for quality data, with cloud-based services one way to ensure the goals are met. Spurred on by regulatory change and market pressures...more

Tax Reform and Investment Management: Effect on Registered Investment Companies

by K&L Gates LLP on

The Tax Cuts and Jobs Act (“Act”) significantly changed U.S. tax federal law. Although the Act does not amend any of the provisions directly affecting the qualification or other taxation of a “regulated investment company”...more

Measuring the success of sell-side research

When the cost and quality of research has never been under so much scrutiny, how is it possible for sell-side firms to objectively measure their performance?...more

Why, and how, to plan for a very long life

by Womble Bond Dickinson on

When creating a long-term investment strategy, you need to think about your goals, circumstances, risk tolerance and liquidity needs. But you should also place considerable weight on one other factor: your projected...more

Ninth Circuit Considers Jurisdiction To Hear Appeal Of Decision Vacating Arbitration Award And Remanding For A New Arbitration

by Carlton Fields on

The Ninth Circuit has found that it had jurisdiction to hear an appeal of a district court decision vacating an arbitration award and remanding the case for a new arbitration....more

Return of confidence boosts 2017 investment banking

Global deal-making surpassed expectations in 2017, with M&A above US$3 trillion for the fourth year in a row. Matthew Toole, Director of Deals Intelligence, and John Foley, US Editor, of Reuters Breakingviews, look back at a...more

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