Legal & Regulation

Announcement

HFSB launches ‘governance and internal processes’ toolbox

The Hedge Fund Standards Board (HFSB) has launched a Toolbox to provide guidance to managers and investors on issues relating to fund manager governance and internal processes. »


Social media

SEC allows broader use of social media for investment manager advertising

The US Securities and Exchange Commission (SEC) has issued guidance to assist investment managers in applying Section 206(4) of the Investment Advisers Act of 1940 to their use of social media.  »


Fiona Le Poidevin, Guernsey Finance

What a third country offers asset managers under AIFMD

AIMA CEO Andrew Baker recently commented that the complicated nature of AIFMD, the different interpretations of EU Member States and variety of approaches from third countries meant that fund managers are facing complex choices. Here, Fiona Le Poidevin (pictured), Chief Executive of Guernsey Finance, explores what a third country can offer asset managers under AIFMD. »


Gavel and scales

CBOE wins appeal in ISE patent case

The United States Court of Appeals for the Federal Circuit has ruled in favour of the Chicago Board Options Exchange (CBOE) in a seven-year-old patent litigation with the International Securities Exchange (ISE). »


Report

CFTC releases rule enforcement review of OneChicago

The Commodity Futures Trading Commission’s division of market oversight has issued the results of a rule enforcement review of OneChicago.  »


Gavel

Customers of MF Global to begin receiving final restitution payments

The trustee for MF Global will begin making final distributions to satisfy its obligation of full restitution for USD1.212bn in losses sustained by customers when the company failed in 2011. »


Kevin Gundle

Investors will miss out on returns if they don’t navigate AIFMD barriers, says Aurum

The barriers for investment created by the Alternative Investment Fund Managers Directive (AIFMD) are still preventing investors from reaching European funds, despite solutions becoming available, according to Aurum. »


Monique Meils, Kinetic Partners

Balance is key to whistleblowing programs

Monique Melis (pictured), Global Head of Consulting at Kinetic Partners, the global professional services firm comments on whistle blowers… »


Survey

Fund managers still concerned about AIFMD reporting, says Confluence

More than two-thirds (67 per cent) of alternative investment fund managers say they are still concerned about reporting to local regulators, despite nearly all (95 per cent) saying they feel informed on the requirements of AIFMD. »


Kenton Farmer, European head, OTC derivatives operations at SS&C GlobeOp

SS&C GlobeOp’s Kenton Farmer discusses EMIR Transaction Reporting Solution

As with any new piece of legislation, things tend to be a bit chaotic at the start and for European market participants EMIR Transaction Reporting has proved no exception. »


Upcoming training

Mon, 12/05/2014 (All day) - Dubai
Tue, 13/05/2014 (All day) - Dubai