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Legal & Regulation

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. »

Bermuda proposes changes to investment provider code

Bermuda proposes changes to investment provider code

Sun, 25/04/2010 - 16:01

The Bermuda Monetary Authority has proposed a series of changes to the general business conduct and practice code of conduct issued under the Investment Business Act 2003 that aim to improve practices among investment providers. »

EU should not stray from G20 path on hedge fund regulation, says Aima

EU should not stray from G20 path on hedge fund regulation, says Aima

Thu, 22/04/2010 - 16:04

The European Union should not diverge from the path already set by the G20 on hedge fund regulation, the Alternative Investment Management Association says. »

SEC charges Goldman Sachs with fraud over USD1bn sub-prime mortgage CDO losses

SEC charges Goldman Sachs with fraud over USD1bn sub-prime mortgage CDO losses

Sun, 18/04/2010 - 18:39

The Securities and Exchange Commission has charged Goldman, Sachs & Co and one of its vice-presidents with defrauding investors by misstating and omitting key facts about a financial product tied to sub-prime mortgages launched as the US housing market was beginning to falter. »

New mutual funds act for the British Virgin Islands

New mutual funds act for the British Virgin Islands

Thu, 15/04/2010 - 15:11

Funds incorporated in the British Virgin Islands will now have further legal and regulatory support following the enactment of the Securities & Investment Business Act.  »

SEC proposes large trader reporting system

SEC proposes large trader reporting system

Thu, 15/04/2010 - 14:06

The Securities and Exchange Commission has proposed rules that would impose reporting requirements on traders whose trading activities exceed certain thresholds.  »

Funds frozen as ASIC investigates possible scam

Funds frozen as ASIC investigates possible scam

Tue, 13/04/2010 - 14:22

The Australian Securities and Investments Commission has obtained interim orders against Peter van de Steeg, Jonathan Ezzy, Peter Berlowitz and Scott Walker and their 16 associated companies due to concerns about the possible operation of a Ponzi-style scheme. »

Law firm Thorp Alberga opens Hong Kong office

Law firm Thorp Alberga opens Hong Kong office

Tue, 13/04/2010 - 11:42

Thorp Alberga, a newly formed Cayman Islands boutique law firm, has opened a Hong Kong office and appointed two partners. »

Law firm Harneys adds Cyprus office

Law firm Harneys adds Cyprus office

Mon, 12/04/2010 - 11:25

Offshore law firm Harney Westwood & Riegels has opened an office in Cyprus. »

Akin Gump expanding to Geneva

Akin Gump expanding to Geneva

Thu, 08/04/2010 - 10:37

Law firm Akin Gump Strauss Hauer & Feld will open an office in Geneva on 1 May 2010, expanding its international footprint further into Western Europe.  »

CFTC creates separate account class for cleared OTC derivatives

CFTC creates separate account class for cleared OTC derivatives

Thu, 01/04/2010 - 16:11

The Commodity Futures Trading Commission has approved final rules that create a sixth and separate account class, applicable in the event of futures commission merchant bankruptcy, for cleared OTC derivatives. »

Guernsey trade mission targets funds investing in India

Guernsey trade mission targets funds investing in India

Tue, 30/03/2010 - 06:04

A delegation of politicians, officials and business leaders from Guernsey will visit India next month to enhance financial services links between the two jurisdictions. »

Former Chartwell secretary pleads guilty

Former Chartwell secretary pleads guilty

Mon, 29/03/2010 - 07:14

The former company secretary of Chartwell Enterprises, Ian Rau, has pleaded guilty in the Victorian Supreme Court to eight charges brought by the Australian Securities and Investments Commission. »

Court rules in favour of Walkers’ client in major hedge fund dispute

Court rules in favour of Walkers’ client in major hedge fund dispute

Sun, 28/03/2010 - 11:38

The Cayman Islands Court of Appeal has sent a clear message that winding up petitions should not be used to place undue and improper pressure on companies to accede to investor demands, according to a briefing by law firm Walkers. »

ASIC cancels Teys’ Australian financial services licence

ASIC cancels Teys’ Australian financial services licence

Thu, 25/03/2010 - 16:04

The Australian Securities and Investments Commission has cancelled the Australian financial services licence held by Teys Property Funds Limited which is under external administration. »

Comment: What does the FSA dawn raid mean for our financial industry?

Comment: What does the FSA dawn raid mean for our financial industry?

Wed, 24/03/2010 - 18:19

Jérôme de Lavenère Lussan, CEO of hedge fund consultancy Laven Partners, comments on the UK Financial Services Authority’s first operation carried out with the Serious Organised Crime Agency (SOCA), resulting in the arrests this week of six men on suspicion of being involved in an insider dealing ring. »

Fund industry leaders set to tackle ‘Newcits’ threat

Fund industry leaders set to tackle ‘Newcits’ threat

Wed, 24/03/2010 - 08:14

Leaders of the European fund industry are calling for action from the European Union authorities because they fear that the success of the Ucits ‘brand’, which has enabled EU-domiciled retail funds to be sold all over the world, is under threat from the use of the structure by hedge fund managers. »

Moore Capital trader arested in 'largest-ever' FSA insider-dealing swoop

Moore Capital trader arested in 'largest-ever' FSA insider-dealing swoop

Wed, 24/03/2010 - 08:04

A trader at the London-arm of New York hedge fund Moore Capital is one of the six men arrested on Tuesday morning in a series of early-morning raids on 16 addresses in London, Oxfordshire and the south east of England. »

Alternative asset firms lagging in compliance

Alternative asset firms lagging in compliance

Mon, 22/03/2010 - 10:41

Many alternative investment firms are lagging in internal IT, compliance, policy enforcement, business continuity planning and IT security, according to analysis by Richard Fleischman & Associates, a provider of outsourced technology and IT services. »

Maples adds new partners

Maples adds new partners

Mon, 22/03/2010 - 06:42

International law firm, Maples and Calder, has announced the appointment of eight new partners. Five of the new partners – Matthew Crawford, John Dykstra, Jarrod Farley, Michael Richardson and Joannah Bodden Small -– are based in its Cayman Islands office, while the other three – Phillip Ireland, Colm Rafferty and John Trehey – are based in Dubai, Dublin and Hong Kong, respectively. »

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