Most recent articles by Nicola Le Brocq
Crisis Averted! Really?
What caused the financial crisis? Does anyone actually know? Was it lack of regulation or de-regulation? Or, was it lack of understanding of the significance and the complexity of the securitisation markets?
There have been many thought-provoking articles on the ‘financial crisis - 10 years later’ subject. Scholars, agencies and journalists write of the great remedial achievements and of the flaws ...
Everything You Need To Know About the New PRIIPs Directive
The PRIIPs was introduced on 1st January 2018. Six months later, we take a closer look at how this regulation impacted the market and investors.
What is the total cost of ownership of regulatory reporting?
The upside to greater regulatory oversight is more transparency and reporting standardisation; but at what cost?
Your SEC modernization road map: The latest on Filing N-PORT and N-CEN
We’ve analyzed documentation and specifications related to SEC modernization and provided a synopsis of key items relating to filing N-PORT.
Sailing into N-PORT
Today’s registered investment companies (RICs) and ETFs face a navigational issue with the new Form N-PORT filing requirement.