regulation – Fund Guardian

The EU AI Act, DORA, and MiCA: The Emerging Structure of Board Accountability in Digital Regulation

Denis de Montigny PhD, CFA Introduction With the adoption of the EU AI Act, DORA (Digital Operational Resilience Act), and MiCA (Markets in Crypto-Assets Regulation), the European regulatory framework has expanded in scope and complexity. Each regulation addresses distinct technological domains—artificial intelligence, ICT resilience, and crypto-assets—but together they introduce a coherent supervisory approach: one that […]

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Harnessing Real-Time Oversight to Transform Fund Governance

ai, compliance, regulation

Denis de Montigny PhD, CFA Abstract Real-time oversight is reshaping fund governance by allowing continuous monitoring and immediate response to compliance risks. This article explores the core technologies, strategic benefits, and practical implementation of real-time systems in financial oversight. Introduction Fund governance is evolving rapidly in response to the scale and speed of today’s investment

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Dealing with the Governance and Liquidity Challenges in Private-Credit ETFs

distribution-oversight, innovation, regulation

The recent introduction of the innovative private-credit ETF by State Street, in partnership with Apollo, marks a notable advancement in financial product offerings. It attempts to bridge the historically stark divide between the liquidity-focused nature of ETFs and the inherent illiquidity of private credit assets. While this innovation opens new horizons for investors seeking diversified

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The Future of Private Markets: Why Real-Time Oversight is a Game-Changer

distribution-oversight, regulation

The private markets revolution is in full swing. A staggering 86% of private equity firms expect alternative investments to dominate retail portfolios within the next five years, while 97% of asset managers report strong retail demand for private equity and real estate. This surge in retail interest—coupled with the rapid growth of European Long-Term Investment

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Navigating the ELTIF Wave: Why Real-Time Oversight is More Critical Than Ever

fund-distribution, regulation

The European Long-Term Investment Fund (ELTIF) market is undergoing a significant transformation. With private credit surpassing private equity as the leading asset class for new ELTIF launches and more new products authorized in 2024 than in the previous three years combined, the demand for robust oversight and risk management has never been higher. Regulatory changes,

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