Specialists in Change Management

Regulatory Case Studies

Where are the issues?

There is an unprecedented level of proposed regulatory change that will impact securities lending currently under consideration. The technicalities of securities lending can mean that the impacts are not always immediatley obvious to the broader firm or compliance officers and it will be easy to miss something important. Potential regulatory changes on the horizon which may impact your business (but not limited to) include: ESMA proposed regulation of short selling & Sovereign CDS Modernisation of the Transparancy Directive FSB review …

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Solvency II for Securities Lending Agents

Understanding how regulatory change may impact your business and having the solutions available to deliver against the requirements is key to managing your business well. Agent Lenders who lend on behalf of insurance fund clients will have to contend with the new Solvency II regulation’s which is being driven by theEuropean Insurance and Occupational Pensions Authority (EIOPA). Like Basel II for banks this is driving insurance companies to supply large quantities of data to the regulator. There are three pillars …

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Accessing the Market

MX worked with a beneficial owner who was interested in accessing the lending market but was faced with a complex regulatory landscape. By providing analysis of all the potential regulations that may impact the client and developing a bespoke rule set for the programme, the client was able to optimise lending returns whilst ensuring evidential compliance with all the relevant regulation.

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