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Legal & Regulation

Barred

CFTC denies OCC rule amendment

Tue, 15/06/2010 - 10:39

The Commodity Futures Trading Commission has issued a notice of non-approval of a rule amendment submitted by the Options Clearing Corporation.  »

SFA chief executive Matthäus Den Otter

Implications of alternatives directive unclear, says Swiss Funds Association

Tue, 15/06/2010 - 06:15

The Swiss hedge fund industry is well positioned but the implications of the Directive on Alternative Investment Fund Managers are still unclear, the Swiss Funds Association says. »

Jane Diplock, chairman of Iosco's executive committee

Securities regulators adopt new principles and increase focus on systemic risk

Sun, 13/06/2010 - 14:24

The International Organization of Securities Commissions has published its revised Objectives and Principles of Securities Regulation to incorporate eight new principles, based on the lessons learned from the recent financial crisis and subsequent changes in the regulatory environment. »

Regulation books

CFTC proposes rule for co-location/proximity hosting services

Sun, 13/06/2010 - 11:58

The Commodity Futures Trading Commission has proposed a rule that specifies requirements for designated contract markets, derivatives transaction execution facilities and exempt commercial markets that list significant price discovery contracts and offer co-location and/or proximity hosting services to market participants.  »

Regulation

Fund managers face regulatory challenges, says Northern Trust

Thu, 10/06/2010 - 06:25

Northern Trust says that if investment managers are to navigate the intricacies of pending new European regulations they cannot look at each regulation in isolation. »

Gavel

FSA levies largest ever fine of GBP33.32m on JPMorgan Securities

Fri, 04/06/2010 - 06:04

The UK’s Financial Services Authority has fined JPMorgan Securities GBP33.32m for failing to protect client money by segregating it appropriately. »

Jonathan Rigby, group managing partner, Mourant Ozannes

Mourant Ozannes merger creates one of the largest offshore law firms

Wed, 02/06/2010 - 10:57

Ozannes and Mourant du Feu & Jeune, two offshore law firms, have merged to create Mourant Ozannes. »

Federal Court imposes USD1.4m civil penalty against David A Owen

Federal Court imposes USD1.4m civil penalty against David A Owen

Mon, 31/05/2010 - 14:07

The US Commodity Futures Trading Commission (CFTC) has obtained a USD1.4 million civil monetary penalty against David A Owen of Destin, Florida, in a commodity fraud action. »

Frozen funds

ASIC publishes information for investors in frozen funds

Wed, 26/05/2010 - 14:16

The Australian Securities and Investments Commission has published information to better inform investors in frozen funds about their rights in relation to the freezing of funds and to confirm which entities have received relief to assist in the redemption of funds. »

Regulation

Citi assists clients with new money market fund regulations

Wed, 26/05/2010 - 11:06

Citi’s investor services business is launching a range of services to help fund clients comply with new money market rules put forth by the Securities and Exchange Commission. »

Report

Iosco publishes principles on cross border supervisory cooperation

Tue, 25/05/2010 - 16:06

The International Organization of Securities Commissions has published a set of principles regarding cross-border supervisory cooperation developed by its technical committee’s task force on supervisory cooperation. »

Tick

LCH.Clearnet SA becomes recognised overseas clearing house

Tue, 25/05/2010 - 12:32

LCH.Clearnet SA has been granted recognised overseas clearing house status by the UK Financial Services Authority.  »

German flag

Germany’s measures on sovereign debt markets counterproductive, says Edhec

Sun, 23/05/2010 - 11:10

The Edhec-Risk Institute believes the unilateral measures taken by Chancellor Merkel on the sovereign debt markets, both on the short selling of sovereign bonds and credit default swaps, are counterproductive, inconsistent and liable to hinder European growth. »

Mary Schapiro, Chairman, Securities and Exchange Commission (SEC)

SEC proposes stock-by-stock circuit breaker rule

Thu, 20/05/2010 - 11:57

In response to the market disruption of 6 May, the SEC and the Financial Industry Regulatory Authority (FINRA) are proposing new rules under which they would pause trading in certain individual stocks if the price moves 10 per cent or more in a five-minute period. »

Andrew Baker, chief executive of Aima

Ecofin proposals on alternatives directive impractical, says Aima

Thu, 20/05/2010 - 10:43

The Alternative Investment Management Association says it is concerned that many of the proposals in the texts of the Alternative Investment Fund Managers Directive discussed by the European Parliament’s Economic and Monetary Affairs Committee and European finance ministers at the Ecofin meeting are impractical and unworkable. »

Law books and gavel

KPMG challenges ASIC's action for Westpoint investors

Wed, 19/05/2010 - 16:08

The Australian Securities and Investments Commission says it will vigorously defend the constitutional challenge that accounting firm KPMG has initiated in the High Court of Australia against the Commonwealth of Australia and ASIC. »

Market

NYSE Euronext welcomes SEC decision on single-stock circuit breakers

Wed, 19/05/2010 - 15:20

NYSE Euronext has welcomed the Securities and Exchange Commission’s move to gain the agreement of exchanges and trading venues on the implementation of industry-wide single-stock circuit breakers.  »

Magnifying glass

MEPs call for more transparency around hedge funds

Wed, 19/05/2010 - 06:10

The European Parliament’s Economic and Monetary Affairs Committee has adopted its position on the draft EU law regulating managers of alternative investment funds, including hedge funds. »

Strategic Life Settlement Fund receives regulatory approval

Strategic Life Settlement Fund receives regulatory approval

Tue, 18/05/2010 - 10:36

PCE Investors has received regulatory approval from the Irish Financial Regulator for The Strategic Life Settlement Fund, a limited liquidity investment company with variable capital incorporated with limited liability in Ireland. »

Robert Taylor, chief executive at Kleinwort Benson

FSA approves change of control at Kleinwort Benson

Tue, 18/05/2010 - 06:01

RHJ International has received approval from the Financial Services Authority to become the controller of the UK and Channel Islands private bank and wealth management group Kleinwort Benson.  »

Guernsey’s Chief Minister Lyndon Trott

Chief Minister reinforces Guernsey’s tax credentials in Washington

Fri, 14/05/2010 - 05:56

Guernsey’s Chief Minister Lyndon Trott has been reinforcing the island’s position as a leader in tax transparency during meetings with officials in Washington. »

CFTC and SEC create advisory committee on emerging regulatory issues

CFTC and SEC create advisory committee on emerging regulatory issues

Wed, 12/05/2010 - 12:09

Commodity Futures Trading Commission chairman Gary Gensler and Securities and Exchange Commission chairman Mary Schapiro have formed a joint committee that will address emerging regulatory issues.  »

Walkers sees increased demand for insolvency and recovery in Asia

Walkers sees increased demand for insolvency and recovery in Asia

Thu, 06/05/2010 - 13:05

Offshore law firm Walkers says it has seen burgeoning growth in its insolvency and corporate recovery practice, especially in Asia. »

BNP Paribas completes SAS 70 Type 2

BNP Paribas completes SAS 70 Type 2

Wed, 05/05/2010 - 13:50

BNP Paribas has successfully completed a SAS 70 Type 2 examination of its US alternative fund administration, fund of hedge fund custody operations, and general computer controls. »

Law firm Hogan Lovells is launched

Law firm Hogan Lovells is launched

Tue, 04/05/2010 - 10:36

Law firms Hogan & Hartson and Lovells and completed the combination of their two firms. »

Seven contracts on ICE are significant price discovery contracts

Seven contracts on ICE are significant price discovery contracts

Thu, 29/04/2010 - 14:02

The Commodity Futures Trading Commission has determined that seven contracts traded on the IntercontinentalExchange perform significant price discovery functions. »

UK’s FSA files charges against ex-hedge fund trader

UK’s FSA files charges against ex-hedge fund trader

Thu, 29/04/2010 - 07:54

The UK’s Financial Services Authority (FSA) has charged Anjam Ahmad, an ex-hedge fund trader who worked with AKO Capital until last September, with one count of conspiracy to commit insider dealing. »

Aima welcomes French/German statement on alternatives directive

Aima welcomes French/German statement on alternatives directive

Wed, 28/04/2010 - 16:03

The Alternative Investment Management Association has welcomed the statement by the French and German Finance Ministers, Christine Lagarde and Wolfgang Schäuble, that qualified investors should be free to invest in funds from all around the globe irrespective of quality standards set for European hedge funds. »

G20 calls for consistent approach to hedge funds oversight

G20 calls for consistent approach to hedge funds oversight

Tue, 27/04/2010 - 15:16

The Alternative Investment Management Association has welcomed the call by G20 finance officials for a consistent and coordinated approach to the oversight of hedge funds. »

ASIC releases guidance on short selling obligations

ASIC releases guidance on short selling obligations

Mon, 26/04/2010 - 12:30

The Australian Securities and Investments Commission has released regulatory guidance to assist with compliance with new legal requirements under the Corporations Act 2001 and Corporations Regulations 2001 in relation to short selling. »

features
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Hedgeweek Special Report: The Bahamas – How it continues to evolve its funds industry

The Bahamas is taking steps to raise its profile as an attractive funds centre, continuing to build out the popular SMART Fund model template to provide a range of solutions for investment managers, plus its new ICON structure designed to appeal specifically to Brazilian investment managers and advisers.... »

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In an extract from the 2015 Preqin Investor Outlook: Alternative Assets H1 2015, results of a survey conducted in Q4 2014 reveal which strategies and regions will be targeted by private equity investors this year. ... »

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This Special Report unveils the ways in which State Street Global Markets' Fund Connect ETF platform is bringing new levels of efficiency to the the ETF marketplace, and includes expert comment from the perspective of an AP.... »

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fees

Nearly double the proportion of investors view fees as a key issue in the hedge fund industry compared to last year, while performance remains the biggest concern. Investor survey results published in the Preqin Investor Outlook: Alternative Assets H1 2015 reveal the key issues facing investors in the coming year. ... »

Article

Work patterns in the alternative investments space have seen a significant shift over the years —from working in the office on a computer, to collaborating remotely via mobile applications and bring your own devices (BYOD). To remain competitive, an enormous amount of data must be shared on-the-go to facilitate investment decisions, but with minimal IT oversight, this trend towards mobile could open the door for increased risk of information leakage. ... »

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