An uncertain road for investment and fund management. | KPMG | OM

Evolving Investment Management Regulation – succeeding in an uncertain landscape

An uncertain road for investment and fund management.

KPMG’s Evolving Investment Management Regulation report reviews the top regulatory challenges for the global investment and fund management industry.

KPMG’s Evolving Investment Management Regulation report reviews the top regulatory...

Around the globe, the investment and fund management industry is implementing new requirements and responding to supervisory requests and reviews. And more changes loom on the horizon, as some jurisdictions face a pipeline of new regulatory initiatives.

The industry is increasingly being challenged about its business model, commercial relationships, customer propositions and its role in global capital markets. At the same time, policy makers seek the industry’s support in providing retirement savings and supporting economic growth.

KPMG’s 2017 Evolving Investment Management Regulation report discusses key industry themes:

  • Policy conclusions of the global regulatory view that investment and fund management activities are “systemically important.”
  • Continued scrutiny of firms’ culture and conduct, including stewardship, and corporate and fund governance.
  • An intensifying spotlight on costs and charges, both their disclosure and pricing levels.
  • A shifting environment for product regulation, with some subject to new requirements and others being liberalized.
  • The cross-border distribution of funds is also in flux, with evolving passports and the ramifications of Brexit.
  • Regulators welcome FinTech innovations, but express increased concerns about cyber, money laundering and terrorist financing risks.

In the midst of this heavy regulatory agenda, steering businesses in uncertain times requires clear leadership, good governance and agile operations. Among the key questions for CEOs:

  • Are our culture and conduct good across all levels and all departments?
  • Are we challenging our approach to costs and charges, and their disclosure?
  • Are we prepared for fundamental changes to current cross-border distribution models?
  • Are we prepared for increased demands from regulators for data?
  • Are we keeping pace with new technologies and operational risks?
  • What is our process for identifying, planning for and implementing regulatory change?

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