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How are agents dealing with network managers in the new regulatory environment?

Author

Listed:
  • Schnaitt, Günter

Abstract

This comment piece deals with recent changes on the regulatory side of custody business and its effects on the daily operational relationship between providers of agent bank services and network managers. In particular the article describes changes in the contractual relationship between the parties based on new law and the efforts undertaken to deal with it. The comment also deals with contingency providers and the various ways of handling this issue. Furthermore, topics like due diligence questionnaires and due diligence visits are covered. The piece aims to highlight that on both sides of the business, efforts to comply with new laws are increasing dramatically, and demonstrates that the securities industry must find ways to reduce efforts and to increase efficiency.

Suggested Citation

  • Schnaitt, Günter, 2016. "How are agents dealing with network managers in the new regulatory environment?," Journal of Securities Operations & Custody, Henry Stewart Publications, vol. 8(1), pages 4-8, January.
    • Handle: RePEc:aza:jsoc00:y:2016:v:8:i:1:p:4-8
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    More about this item

    Keywords

    AIFMD; UCITS; contingency provider; due diligence visit; due diligence questionnaire; legal documentation; Target 2 Securities; harmonisation;
    All these keywords.

    JEL classification:

    • G2 - Financial Economics - - Financial Institutions and Services
    • E5 - Macroeconomics and Monetary Economics - - Monetary Policy, Central Banking, and the Supply of Money and Credit
    • K22 - Law and Economics - - Regulation and Business Law - - - Business and Securities Law

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