James Humphrey-Evans, a partner based in London, was moderator for a panel discussion at The European Buy-Side Technology Summit on May 19, 2015. The panel members included Konstantinos Botopoulos, a member of the management board of the European Securities and Markets Authority (ESMA). The discussion focused on regulatory challenges facing buy-side firms and the additional requirements for reporting and trade transparency.
SEC proposed rules: Outsourcing by Investment Advisers
The SEC has proposed new rules for registered Investment Advisers that would require