What FinReg Has in Store for Q4 2019

We highlight what to expect this quarter and recap Q3’s key regulatory developments.

What could change the game in Q4:

  • The US SEC just released its final ETF ruleset, making it easier for ETFs to come to market. Yet several active ETF structures are pending their approval which could open the door for new product types before year end.
  • In just a few weeks, Brexit day will be upon us. Ready or not, deal or no deal, the UK will leave the EU. Many asset managers have contingency plans in place and have notified regulators of their plans already.   
  • We expect the European Commission to publish a review of PRIIPs regulation before year end which could include a look at what’s working, what’s not, and proposals for change.
  • The UK’s SM&CR takes effect for asset managers as of December 9. The Senior Managers and Certification Regime holds firm leaders to a high professional standard and increases accountability on individuals.

What happened in Q3: 

Top On The Regs Posts of Q3:

  • Revised Irish Investment Limited Partnerships Worth Waiting For | Read More
  • The Impact of CSDR on Securities Lending | Read More
  • UN PRI Revamp Marks Another Step Toward Mandatory ESG Requirements | Read More