-
Join 101 other subscribers
DSE blog
-
DSE blog
- Sixth Street partners with Northwestern for $13B in ABS
- Capital Group and KKR enter into strategic partnership for alternatives, private credit, and beyond
- Aflac gets into private credit with 40% stake in Tree Line Capital
- Brookfield acquires majority stake in asset-based private credit firm Castlelake – another david and goliath partnership.
- BNY partners with CIFC on private credit
DSE on Twitter
Tweets by danenskatRSS Feed
Category Archives: Uncategorized
The regulatory case and example of Wells Fargo
Over $4 billion set aside for the fake account and MBS issues post-crisis, another billion today in fines for issues around mortgages, loans and risk compliance, and the Fed putting a limit on growth with a balance sheet cap. Aside … Continue reading
Posted in Uncategorized
Leave a comment
Delay for AIFMD third-country passport extension
It looks like the EU will hold off on AIFMD third-country passport extensions until Brexit develops a clearer path. Ugo Bassi, Director of Financial Markets, pointed towards the technical complexities and ongoing assessment period, also in light of Brexit, at … Continue reading
Posted in Uncategorized
Tagged asset management, business, compliance, consulting, CSI, CSS, daniel enskat, distribution, regulation, risk, technology
Leave a comment
Average annualized cost of cybersecurity for financial services firms $17M+
Below are a few interesting data points from the Ponemon Institute 2017 Cost of Cyber Crime Study, jointly developed with Accenture: Notably, the average annualized cost for financial services companies is over $17M, and include evolving business models by criminals, … Continue reading
Posted in Uncategorized
Leave a comment
SEC names Driscoll as Director of OCIE and moves away from “broken windows” approach
The SEC officially named Pete Driscoll the Director of the agency’s Office of Compliance Inspections and Examinations (OCIE). OCIE directs the national examination program with a risk-based approach and Driscoll has served as director since January 2017. Chairman Clayton in a … Continue reading
Posted in Uncategorized
Leave a comment
SEC issues three no-action letters on Mifid II research provisions
Following a consultation with the European authorities, the SEC issued three no-action letters that deal with access to research and will help provide certainty on US business procedures ahead of Jan 3, 2018. The no-action relief allows firms to comply … Continue reading
Posted in Uncategorized
Leave a comment
Risk & compliance: Aladdin generates $600m for BlackRock from 180 external clients
BlackRock highlights technology as a growth driver and with Aladdin generated $595 million in revenue from 180 external clients last year, up 13% year-on-year. Compliance and better understand risk have fueled that growth. In 2014 at their annual “Hackathon”, the … Continue reading
Posted in Uncategorized
Leave a comment
PWC’s Asset & Wealth Industry Predictions: Assets “double”, greater risks
PWC in its latest Asset & Wealth Management Industry whitepaper predicts assets to go from $85T to $145T in the next decade – why the authors would call it almost doubling the assets I am not sure (and I am … Continue reading
Posted in Uncategorized
Tagged asset management, compliance, compliance strategy institute, CSI, CSS, daniel enskat, ESMA, legal, mifid, operations, regulation, risk, sec
Leave a comment
Compliance and RegTech: Paris vs London post Brexit
The Compliance Strategy Institute (CSI) last month held Executive roundtables both in London and Paris, with specific workshops and focus areas around Brexit and the possible competition from Paris and other cities vis-a-vis London in the context of Mifid 2, … Continue reading
Posted in Uncategorized
Leave a comment
Treasury Dept vs. SEC?
The Department of the Treasure threw down the gauntlet with “the executive branch’s plan to promote vibrant and diverse investment and savings opportunities through asset management and insurance”. Treasury Report on Asset Management and Insurance Citing the US asset management … Continue reading
Posted in Uncategorized
Tagged CCO, compliance, compliance solutions strategies, compliance strategy institute, COO, CRO, CSI, CSS, GC, legal, operations, risk
Leave a comment
VIII Congreso Fiap-Asofondos … Regional long-term fund investment review
Over the last two days, Asofondos and the Federación Internacional de Administradoras de Fondos de Pensiones (Fiap) hosted their eighth annual round table focused on macro economics, long-term investing and pension funds. Held in Cartagena, it brought together investment … Continue reading
Posted in Uncategorized
Leave a comment
Warren Enskat Group 
You must be logged in to post a comment.