COMPLIANCE INSIGHTS

Stay on top of regulatory changes with risk and compliance news from Cordium's insights and articles.

Corporate governance: You have to be Uber careful

Home Corporate governance: you have to be Uber careful  As Corporate governance accelerates Bobby Johal, at Cordium discusses how investment managers can avoid an Uber moment. Under pressure to meet stringent governance requirements – investment managers could...

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Developments in RIA Record-Keeping Obligations

There has been a lot of chatter in the industry related to the impacts of the EU’s Marketing in Financial Instruments Directive (MiFID II) on investment managers around the globe which are expected to come into effect in January 2018. While the effects of MiFID...

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Cybersecurity – Getting the basics right

October is Cybersecurity Month – so it’s a good time to step back and consider whether or not your organization is getting the fundamentals right. Many experts believe that ensuring the basics are in place can dramatically reduce cyber risk, and regulators...

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MiFID II – Does Business or Compliance Lead the Project?

At the Cordium annual conference last month I participated in a panel with representatives from Knadel, McFarlanes and Bloomberg, discussing key aspects of MiFID II and what firms should be focusing on. When questioned on who is leading their MiFID II projects,...

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The Breadth of MiFID II’s impact – The clock is ticking

While MiFID II has been topping the media agenda for some time, the stark reality is that with less than six months to go, many firms still have significant work to do to get themselves ready. Last month I spoke on a MiFID II panel at our annual conference in...

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How hard will Brexit be for you?

What investment managers need to consider now. Written by Stephen Burke, Group Corporate Development Director, Cordium Theresa May has been re-elected but she has lost her parliamentary majority.  Even with a ‘confidence and supply’ agreement with the...

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Tackling regulatory change in Hong Kong

With increasing changes on the horizon for investment firms in Hong Kong, there is a growing need for firms to evolve their compliance approaches. Our Managing Director in Asia, Derek McGibney, discusses how a risk-based approach to governance, risk and...

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MIFID II: Six months and counting – the clock is ticking!

With just under six months to go until 3rd January 2018, we polled participants at our annual regulatory conference last week on their MiFID II preparations. 78% of representatives felt they were “getting there” with identifying all the MiFID II requirements...

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MiFID II – Cordium’s Annual Conference Poll Summary

With just under six months to go until 3rd January 2018, we polled participants at our annual regulatory conference last week on their MiFID II preparations. Summary of the polling questions How confident are you that you have identified all the requirements of...

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Success by any Metric

Mirabella congratulates Metric Capital Partners on fund raise. Nothing demonstrates success in the fundraising world better than a quick close and by that measure, Metric Capital Partners has succeeded handsomely with its first and final close of the...

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MiFID II: Best Execution

When it comes into force in January 2018, MiFID II will impact almost every participant in the investment management and securities sector. With just eight months to go before the deadline, firms need to be reviewing and updating their execution,...

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