Finance and Technology Face a New Level of Scrutiny – and Opportunity
Global financial organizations must mobilize now to take control of their future in a complicated and fluid environment where regulation is looming.
While the EU has been the first mover, the United States will certainly forge different rules of the road. Global companies need a strategy to engage Congress, the Securities and Exchange Commission, the Federal Reserve and US Treasury as they consider AI-related rules within their provenance.
In the EU, the European Commission and the member states are examining changes to AI that will enhance Europe’s competitiveness.
Highland Global Advisors acts as a key resource for clients integrating AI into their operations, engaging regulators and policymakers on both sides of the Atlantic.
Fast-moving and consequential changes are coming for companies seeking to tokenize, digitalize and move to the blockchain.
A new, technology-oriented SEC and a race across Asia, Europe and the US to be centers of innovation create opportunities for companies that are leaders in integrating distributed ledger technology.
However, central banks are emerging as an important but often overlooked constituency as they move more quickly and aggressively to study and oversee these financial innovations.
The Federal Reserve, European Central Bank, Bank of England and the Bank for International Settlements all recently published work on the topic of tokenized mutual funds.
While they recognize the potential efficiencies of using blockchain technology for investment funds, they have also highlighted major concerns around financial stability, regulatory arbitrage, and operational risks.
Highland Global Advisors helps clients by leveraging our long-standing relationships with central banks and securities regulators around the world who are leading this work.
Rely on our team to identify your strongest opportunities and recommend the most effective strategies for pursuing them.
The lines are blurring between public and private markets, and between retail and professional investors, creating new opportunities for asset managers.
New leadership at the US SEC will adopt a more open outlook on alternative assets and private credit markets and may move to modernize their regulatory framework—including the 1940 Act.
But central banks, the Financial Stability Board, and the International Monetary Fund are decidedly less positive about the growth of alternative assets and in some cases the leverage used to bolster returns.
Informing the conversation will be critical to avoid reflexive, prescriptive regulatory proposals that could create new cross-jurisdictional conflicts for your alternative funds business.
Highland Global Advisors has deep experience in guiding a wide array of asset managers through the global regulatory landscape.
Rely on our team to offer expert policy advice, regulatory strategy, and operational tactics to find new opportunities and avenues for growth.
US and EU regulatory divergence on capital requirements is about to escalate as the Basel III endgame plays out.
In the US, the Federal Reserve’s final rules on bank capital are still unclear and may be dropped entirely. In Europe, central bankers are going in a different direction as they implement CRD6.
This is crucial moment to start a dialogue, seeking harmonization wherever possible.
Highland Global’s team has a long history of engaging with members of the Basel Committee on Banking Supervision, the European Central Bank, Financial Stability Board, and the US Federal Reserve on this and other leading issues of the day.
Let us use our connectivity and knowledge to advance your priorities and concerns.
This could be a watershed moment for the mutual fund and asset management industry, thanks to new technologies that dramatically speed up and simplify reporting, disclosure, and proxy voting.
Dramatic change is never easy, but old attitudes and regulatory inertia are falling away, and regulators are rightly pushing for the empowerment of investors and end-users of financial products. This is the best time in decades to propose innovations.
Seizing this opportunity will require engagement and education with regulators and stakeholders.
Highland Global Advisors is a leader in this field, widely recognized as an advocate for rule changes that promise to transform shareholder communications.
Our team will partner with you to effect meaningful change that ushers in widespread adoption of new technologies.
Structured Finance regulations are being reexamined in Europe, offering the first opportunity in nearly two decades for American financial institutions to globalize their strategies and achieve scale.
Currently the industry operates under multiple layers of confusing, potentially conflicting regulations across the globe, but that is all about to change—and no serious participants in this space can afford to miss opportunities to grow their franchises.
Highland Global Advisors has tremendous connectivity with policy leaders and regulators in Brussels, across Europe, and at the Financial Stability Board and IOSCO.
Let’s work together on a strategy to engage policymakers and grow your structure finance footprint.
Investors, financial institutions and companies are going to be walking a tightrope, as EU regulators amend and sharpen their sustainable finance frameworks while US federal and state-level regulators move in conflicting directions. It will take careful work to avoid getting wrong-footed in either jurisdiction.
Highland Global Advisors is experienced in helping financial institutions and technology companies meet the moment and manage their sustainable finance business in this increasingly complex, fragmented, and highly charged environment.
Let us help you lead a rethink that aligns your business with the present environment and sets it up for long-term success.
Global companies must navigate new geopolitical risks, especially as the US Treasury Department designs new sanctions and implements the recently finalized outbound investment screening framework.
The executives at Highland Global Advisors have experience inside the government coordinating the development of sanctions, and in the private sector advising asset managers on how to navigate gray zones created by uncertainty in the rules.
Highland clients can depend on our strategic approach to implementation, our deep networks of contacts across the US government, and our partnership with experts who can conduct technical assessments of potential investments in China and other target countries.
Call on us to guide you through the challenging times ahead.
These days, market shocks can go global in an instant and black swan events no longer seem extraordinary. You need an organization that can see around corners to identify unexpected internal and external risks.
Highland Global’s leadership has decades of experience in doing just that. Its founder has been in the trenches, running the US Treasury’s Markets Room at the height of the 2008-2009 global financial crisis, liaising with Wall Street, and briefing multiple Presidents and Treasury Secretaries.
Policymakers have not forgotten the systemic risk events of 2008-2009 and 2020 and continue to look for ways to constrain banks and non-bank financial institutions (NBFI).
Let us engage with you now to scan the horizon for market shocks that impact your investments, and to shape your engagement with central banks on their systemic risk concerns.