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Legal & Regulation

Clock

Countdown to EMIR reporting begins



Fri, 08/11/2013 - 16:03

The first trade repositories need to begin European Market and Infrastructure Regulation (EMIR) reporting for all derivative counterparties in February 2014, according to the European Securities and Markets Authorities (ESMA).

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Fiona Le Poidevin, chief executive of Guernsey Finance

Guernsey event shows practical aspects of AIFMD implementation

Fri, 08/11/2013 - 14:00

Nearly 200 fund managers and advisers attended a Guernsey event in London this week to hear the practical aspects of implementing the Alternative Investment Fund Managers Directive (AIFMD). »

London

Sullivan & Worcester expands trade finance practice

Fri, 08/11/2013 - 12:35

Simon Cook has re-joined Geoff Wynne, head of Sullivan & Worcester’s new London office, as a partner in the London-based team of seven lawyers focusing on emerging markets structured trade and commodities finance. »

Barred sign

CFTC obtains restraining order against AlphaMetrix

Thu, 07/11/2013 - 16:01

The US Commodity Futures Trading Commission (CFTC) has filed a complaint against AlphaMetrix, a Chicago-based commodity pool operator and commodity trading advisor.  »

Warehouse

LME approves changes to warehousing policy

Thu, 07/11/2013 - 15:06

The board of the London Metal Exchange (LME) has approved the proposed changes to its warehousing policy designed to cut queues at warehouses, following a three-month consultation with the global metals industry. »

Gavel and scales

CFTC charges Donald R Wilson and DRW Investments with price manipulation

Thu, 07/11/2013 - 10:06

The US Commodity Futures Trading Commission (CFTC) has filed a civil enforcement action in the US District Court for the Southern District of New York against Donald R Wilson and his company, DRW Investments.  »

Fiona Le Poidevin, Guernsey Finance

ILS emerges as an alternative asset class

Wed, 06/11/2013 - 11:46

Fiona Le Poidevin (pictured), chief executive of Guernsey Finance, explores how Guernsey’s investment and insurance expertise mean it is capitalising on the opportunities presented by the growth of Insurance Linked Securities (ILS). »

Magnifying glass

Corgentum Consulting added as operational due diligence provider for FNEX.com

Wed, 06/11/2013 - 11:30

FNEX, the alternative investment marketplace, has formed a partnership with Corgentum Consulting whereby its due diligence reviews and background investigation of fund managers sourcing deals on the FNEX.com platform will be available to accredited investors. »

Regulation

EDHEC-Risk Institute disagrees with EFAMA on ESMA guidelines

Wed, 06/11/2013 - 06:45

EDHEC-Risk Institute disagrees with The European Fund and Asset Management Association's (EFAMA) assertion that the European Securities and Markets Authority (ESMA) exceeded its powers and mandate by issuing quasi-regulation on topics not previously regulated at EU level. »

Jersey Finance chief executive Geoff Cook

Jersey to be removed from French uncooperative jurisdictions list

Tue, 05/11/2013 - 14:40

Jersey’s government has received assurances from the French Finance Ministry that the island will be removed from France’s list of uncooperative jurisdictions in due course. »

Jon Moulton, chairman of the CISX

CISX set to restructure

Wed, 30/10/2013 - 13:38

The Channel Islands Stock Exchange (CISX) is planning to restructure. »

Regulation

Opus Fund Services offers Markit's FATCA compliance solution to clients

Wed, 30/10/2013 - 12:17

Opus Fund Services is offering clients a solution for compliance with the Foreign Account Tax Compliance Act (FATCA). »

Computer screen

New EMIR Counterparty Classification Tool launched on ISDA Amend

Mon, 28/10/2013 - 14:33

The International Swaps and Derivatives Association (ISDA), the British Bankers Association (BBA), the Investment Management Association (IMA) and Markit have launched the EMIR Counterparty Classification Tool on ISDA Amend. »

Fund administration

Sandell selects SS&C GlobeOp for fund admin, risk and regulatory support

Fri, 25/10/2013 - 10:04

Sandell Asset Management has selected SS&C GlobeOp to provide a range of fund administration, risk and regulatory support services, including support for FATCA and Form PF. »

Peter Harwood, Guernsey's Chief Minister

Guernsey signs ‘FATCA’ agreement with the UK

Wed, 23/10/2013 - 16:04

Guernsey has signed an agreement with the UK on a package of tax measures designed to enhance the automatic tax information exchange provisions already in place between the two jurisdictions. »

Fiona Le Poidevin, chief executive of Guernsey Finance

More than 200 register for Guernsey AIFMD event

Wed, 23/10/2013 - 06:45

More than 200 people have registered to attend a Guernsey event in London on 5 November which will examine the EU’s Alternative Investment Fund Managers Directive (AIFMD). »

Gavel

NFA orders AlphaMetrix to satisfy obligations to pool participants by 1 Nov

Tue, 22/10/2013 - 08:00

The National Futures Association (NFA) has ordered AlphaMetrix LLC to satisfy its obligations to certain pool participants by 1 November.  »

Financial burden

Hedge funds delaying the inevitable by not embracing AIFMD, says Helvetic

Tue, 22/10/2013 - 06:02

Hedge funds avoiding the new Alternative Investment Fund Management Directive (AIFMD) framework due to concerns over increased compliance costs are delaying the inevitable, says Helvetic Fund Administration. »

Kevin Stewart, Guernsey’s Commerce and Employment Minister

CISX publishes guidance for current and potential issuers

Thu, 17/10/2013 - 17:30

On Monday 14 October, the Channel Islands Stock Exchange (CISX) announced to members that certain of its historic activities have been under investigation by the Guernsey Financial Services Commission (GFSC). »

Gavel and scales

CFTC files and settles CDS charges against JPMorgan Chase Bank

Thu, 17/10/2013 - 12:31

The US Commodity Futures Trading Commission (CFTC) has issued an Order against JPMorgan Chase Bank bringing and settling charges for employing a manipulative device in the trading of credit default swaps (CDS). »

John Moulton, CISX

CISX confirms regulatory investigation and closes to new business

Tue, 15/10/2013 - 12:48

The Channel Islands Stock Exchange (CISX) has for the last 20 months been subject to a Guernsey Financial Services Commission (GFSC) investigation into certain historic activities, according to CISX Chairman Jon Moulton. »

Paperwork

Hedge funds addressing new regulatory hurdles, says Deutsche Bank study

Fri, 11/10/2013 - 14:05

Hedge funds are adopting a wait-and-see approach to compliance with regulation due to the complexity of workload involved, according to a study by Deutsche Bank. »

Regulation

Some key EU markets ‘gold plating’ AIFMD, says AIMA/EY survey

Fri, 11/10/2013 - 12:36

Some key European markets are “gold-plating” the marketing requirements for legacy national private placement regimes (NPPR) over and above those required by the Alternative Investment Fund Managers Directive (AIFMD). »

Tax

Sapient Global Markets launches FATCA compliance suite

Wed, 09/10/2013 - 14:38

Sapient Global Markets has launched a suite of software and services to help companies meet the new requirements of the US Foreign Account Tax Compliance Act (FATCA). »

Andrew Baker, AIMA chief executive

AIMA publishes updated guide to sound practices for hedge fund valuation

Wed, 09/10/2013 - 14:02

The Alternative Investment Management Association (AIMA), the global hedge fund industry association, has updated its Guide to Sound Practices for Hedge Fund Valuation. »

Numbers and magnifying glass

ESMA guidelines make risk stats mandatory requirement for AIFMD reporting

Mon, 07/10/2013 - 12:00

Investor Analytics sees ESMA’s recently updated guidelines as firmly placing risk statistics like value-at-risk and sensitivity analysis as mandatory requirements for AIFMD reporting. »

Swiss flag

FINMA investigating possible manipulation of foreign currency exchange rates

Mon, 07/10/2013 - 10:12

FINMA, the Swiss financial regulator, is currently conducting investigations into several Swiss financial institutions in connection with possible manipulation of foreign exchange markets. »

Magnifying glass

Kinetic Partners offers background checks on fund managers

Mon, 07/10/2013 - 06:01

Kinetic Partners is now offering a global background checking service to complement its investor led fund, fund manager and service provider operational due diligence (ODD) services. »

Steven Maijoor, ESMA chair

ESMA clarifies reporting requirements for alternative fund managers

Tue, 01/10/2013 - 16:02

The European Securities and Markets Authority (ESMA) has published final guidelines on the reporting obligations for alternative investment fund managers (AIFMs). »

Fiona Le Poidevin, chief executive of Guernsey Finance

Guernsey event to look at practical aspects of AIFMD implementation

Mon, 30/09/2013 - 06:04

Funds experts will examine Guernsey’s approach to the EU’s Alternative Investment Fund Managers Directive (AIFMD) at an event in London this November. »

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