Since 2014, Precidian Investments has sought Securities and Exchange Commission (SEC) approval for a new kind of active exchange-traded fund (ETF) that does not disclose its daily holdings. No longer. On April 8, the SEC gave Precidian Investments contingent approval … Continue reading SEC, Precidian Pave the Way for Non-transparent, Active ETFs
When it comes to cybersecurity, one weak link makes the whole chain vulnerable. To combat an increasing threat, global regulators are bolstering global cybersecurity initiatives. But regulations alone aren’t enough. Here we look at what global asset managers can do … Continue reading SEC’s Cybersecurity Agenda Is a Call to Action for Asset Managers
The increasing applications of artificial intelligence and machine learning in financial services – from robo advisory platforms to algorithmic stock trading to risk modelling – is disrupting decades old processes. As the industry embraces AI-led innovation, can regulators keep up? And more importantly, how might technology solve some of their biggest challenges? Continue reading Ghost in the Machine: Financial Regulators Keep an Eye on AI
Just last week, the SEC published a new strategic plan covering 2018-2022. It’s focused on making the agency more effective in an ever-evolving market and provides an effective roadmap to areas of regulatory focus in US asset management for the foreseeable future. Continue reading SEC Strategic Plan Aligns Closely with the Industry
More than a year in the making, the CBI issued revised ETF policy decisions in the form of the “CBI Feedback Statement.” The much-anticipated statement provides the ingredients to increase greater efficiency and product innovation in the rapidly growing ETF market. Continue reading CBI Feedback Statement Provides Ingredients for New ETFs
The SEC has continued to advance its vast regulatory agenda through the summer months. As temperatures remain high so too do US financial regulation demands. Continue reading No Summer Slowdown for the SEC as US Financial Regulation Heats Up