Industry Insights

Click on the links below to access posts, briefing notes, articles and whitepapers published by Laurellis Associates.
  • All
  • Accuracy and Completeness
  • EMIR
  • MiFIR
  • Regulatory Reporting
  • SFTR
  • Transaction Reporting
  • Governance and Oversight
  • Target Operating Model
  • Control Framework
  • MiFID II
  • Operational Risk Management
  • Reconciliation
  • Trade and Transaction Reporting
  • Systematic Internaliser
  • Best Execution
  • Action Plan

Transitioning EMIR and MiFIR Reporting

Industry Backdrop Clearly the news that CME Group have both decided to wind down their regulatory reporting business in November 2020 is unwelcome news for those currently using their regulatory reporting services.  However, it does provide a great opportunity for firms to review their current…

read more

SFTR Reporting Reprieve for AIFs

What is the SFTR Reporting Obligation? The Securities Financing Transactions Regulation (SFTR) is the EU’s regulatory response to the Financial Stability Board’s policy proposals for greater transparency.  The main SFTR articles are: Article 15: Reuse of collateral Articles 13 and 14: Transparency of SFTs for investors Article 4:…

read more

A Consolidated Regulatory Reporting Target Operating Model

The diverse set or reports that investment firms are now required to submit to regulators and clients has exploded over the last decade, and does not look like abating any time soon. Most firms have approached each of these regulatory reporting requirements in isolation –…

read more

What is your Systematic Internaliser (SI) Status?

The MiFID II Systematic Internaliser (SI) regime comes into force on the 1st September and ESMA has now released the total volume of transactions executed across the European Union (“EU”) for specific equity (and equity-like) and non-equity (bond) instruments for the 6 month period between…

read more

How is your Brexit planning coming along?

Of course, the overall impact on asset management firms of the UK’s decision to leave the EU will depend upon the nature of the firm and the scope and scale of its activities.  For example, UK domiciled fund managers who manage an EEA domiciled fund…

read more

SFTR transaction reporting – should we make a start?

The RTS hasn’t been finalised yet, so there’s no need to start thinking about it yet…right? No…in all likelihood, transaction reporting under SFTR is going to be complex and a huge challenge, perhaps even more so than MiFIR transaction reporting.  Whilst reporting obligations are not…

read more
If you would like to discuss any of these topics in more detail please contact us.