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Markets and Securities Services |
Introduction
2
And what better way to start the New Year than with a forward-looking piece that considers the
direction asset management regulation might take into 2020 and beyond. Not crystal ball-gazing, this
article, written by Guy Sears, previously the interim CEO of the Investment Association, rather offers
an enterprising look at asset management derived from Guy’s ample experience. Plus there’s more...
Our industry insight includes a host of other themes, topics and questions that we believe are of
strategic business interest to global asset management participants across the spectrum.
In Asia, we follow the further opening of the Chinese market to foreign investors, most recently
with the launch of the Shenzhen–Hong Kong Stock Connect programme in December 2016, which
includes an expansion of cross-border regulatory and enforcement cooperation between Hong
Kong’s Securities and Futures Commission and the China Securities Regulatory Commission to
facilitate real-time surveillance of activity in their respective markets.
Moving to the US, we turn to the significant changes that will be of interest to investment
management firms registered as investment advisers with the SEC, discussing the amendments
to Form ADV, additional information about advisory business and the new Schedule R, and
amendments to Schedule D.
Amanda Hale
Head of Regulatory
Services, Trustee and
Fiduciary Services, Citi
INTRODUCTION
Following the publication of our MiFID II special edition last year,
it is with renewed pleasure that we welcome you to our first edition
of
Global Trustee and Fiduciary Services News & Views
for 2017. . .
What happens when regulators work with
each other more? Asking what direction
asset management regulation might take
into 2020 gives us a sneak preview. . .