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Legal & Regulation

SEC adopts rule requiring money market funds to report portfolio holdings

SEC adopts rule requiring money market funds to report portfolio holdings

Mon, 28/09/2009 - 06:04

The Securities and Exchange Commission is adopting an interim final temporary rule under the Investment Company Act of 1940 to require a money market fund to report its portfolio holdings and valuation information to the SEC under certain circumstances.  »

Irish Stock Exchange revises listing rules

Irish Stock Exchange revises listing rules

Thu, 24/09/2009 - 13:59

The Irish Stock Exchange has published a series of revisions to its listing rules, which are effective from 24 September 2009.  »

NFA permanently bars True Vector Trading and its principal

NFA permanently bars True Vector Trading and its principal

Wed, 23/09/2009 - 10:49

The National Futures Association has permanently barred from NFA membership True Vector Trading Group, an introducing broker formerly located in Delray Beach, Florida, and its principal James Douglas of Galveston, Texas. »

ASIC winds up Western Australian funds management firm

ASIC winds up Western Australian funds management firm

Tue, 22/09/2009 - 16:02

The Australian Securities and Investments Commission has obtained orders from the Federal Court in Perth to wind up Finchley Central Funds Management. »

Aima and IFIA launch revised guide for hedge fund administrators

Aima and IFIA launch revised guide for hedge fund administrators

Fri, 18/09/2009 - 14:18

The Alternative Investment Management Association and the Irish Funds Industry Association have published the revised edition of the Aima Guide to Sound Practices for Hedge Fund Administrators. »

US and UK sign memorandum on cross border clearing organisations

US and UK sign memorandum on cross border clearing organisations

Wed, 16/09/2009 - 16:30

The US Commodity Futures Trading Commission and UK Financial Services Authority have signed a memorandum of understanding to enhance cooperation and the exchange of information relating to »

IMF ranks Jersey as one of the best jurisdictions globally

IMF ranks Jersey as one of the best jurisdictions globally

Wed, 16/09/2009 - 07:06

Jersey Finance has welcomed an endorsement from the IMF in its latest review, which has praised Jersey's high standards of regulation and supervision. »

Iosco publishes regulatory standards for funds of hedge funds

Iosco publishes regulatory standards for funds of hedge funds

Tue, 15/09/2009 - 12:47

The International Organization of Securities Commissions has published standards aimed at addressing regulatory issues of investor protection which have arisen due to the increased invo »

Jersey praised for anti-money laundering compliance

Jersey praised for anti-money laundering compliance

Tue, 15/09/2009 - 11:10

Jersey has been praised for the regulation and supervision of its financial sector and for its money laundering and terrorist financing defences. »

EVCA supports call for impact assessment on AIFM directive

EVCA supports call for impact assessment on AIFM directive

Mon, 14/09/2009 - 11:55

The European Private Equity and Venture Capital Association has welcomed an acceptance by Poul Nyrup Rasmussen, president of the PES, that there should be proper consultation with indus »

Third-country alternative funds could be shut out by EU directive option

Third-country alternative funds could be shut out by EU directive option

Fri, 11/09/2009 - 18:43

A new draft of the European Union's Directive on Alternative Investment Fund Managers includes an option that would bar funds domiciled in outside »

Deutsche Börse and Eurex publish blueprint for strengthening derivatives market

Deutsche Börse and Eurex publish blueprint for strengthening derivatives market

Mon, 07/09/2009 - 12:22

Deutsche Börse and Eurex have published a white paper containing a blueprint for reducing systemic risk in the global derivatives market. »

Iosco issues final recommendations on securitisation and CDS market

Iosco issues final recommendations on securitisation and CDS market

Mon, 07/09/2009 - 11:05

The International Organization of Securities Commissions' Technical Committee has published a final report recommending regulatory actions to assist financial market regulators in intro »

Aima welcomes FSA's European Directive impact assessment

Aima welcomes FSA's European Directive impact assessment

Mon, 24/08/2009 - 07:19

The Alternative Investment Management Association has welcomed the impact assessment of the European Commission's draft directive on Alternative Investment Fund Managers commissioned by th »

ASIC bans operator of unregistered managed investment scheme

ASIC bans operator of unregistered managed investment scheme

Mon, 24/08/2009 - 06:57

The Australian Securities and Investments Commission has banned Jonathan Peter West of Athelstone, South Australia from providing financial services for six years. »

CFTC amends ICE Futures Europe's foreign access relief

CFTC amends ICE Futures Europe's foreign access relief

Fri, 21/08/2009 - 16:56

The US Commodity Futures Trading Commission has made further amendments to the terms under which ICE Futures Europe is permitted to make its electronic trading and order matching system »

AACG launches fraud detection product

AACG launches fraud detection product

Thu, 20/08/2009 - 16:48

Advanced Analytical Consulting Group has launched Scientific Fraud Detection, a product that aims to help funds monitor regulatory compliance and identify fraudulent behaviour. »

Private sector gives strong but cautious support for regulatory reform

Private sector gives strong but cautious support for regulatory reform

Thu, 06/08/2009 - 12:46

Companies and financial institutions around the world have expressed strong levels of support for many of the key components of financial regulation reform proposed by governments in th »

Alternatives directive could cost pension industry EUR25bn a year

Alternatives directive could cost pension industry EUR25bn a year

Tue, 04/08/2009 - 12:33

The Alternative Investment Management Association has warned that the European Commission's draft directive on alternative investment fund managers could cost Europe's pension fund indu »

Martin Currie achieves conformity with HFSB best practices

Martin Currie achieves conformity with HFSB best practices

Mon, 03/08/2009 - 07:11

Martin Currie Investment Management has attained conformity with the Hedge Fund Standards Board's best practices for hedge fund managers. »

Isitc finalises OTC derivatives market practice

Isitc finalises OTC derivatives market practice

Wed, 29/07/2009 - 16:50

The International Securities Association for Institutional Trade Communication has released a market practice that aims to address the challenge of increasing over-the-counter trading v »

FSA's failures could lead to a winter of discontent, says think-tank

FSA's failures could lead to a winter of discontent, says think-tank

Tue, 28/07/2009 - 17:12

The Financial Services Authority's attempts to set and communicate an actionable implementation plan for liquidity risk have so far failed, according to the results of three surveys by »

Aima warns of global impact of EU alternatives directive

Aima warns of global impact of EU alternatives directive

Mon, 27/07/2009 - 13:06

The Alternative Investment Management Association has warned that the European Commission's draft directive on Alternative Investment Fund Managers would hit fund managers and investors »

HedgeOp launches SEC registration support service

HedgeOp launches SEC registration support service

Mon, 27/07/2009 - 11:07

HedgeOp Compliance has launched its ADVassist hedge fund adviser registration service. »

Bermuda passes company and partnership legislation

Bermuda passes company and partnership legislation

Wed, 22/07/2009 - 11:39

The Bermuda government has passed a series of legislative amendments to improve the efficiency of international business in Bermuda.  »

Bermuda streamlines company and partnership legislation

Bermuda streamlines company and partnership legislation

Thu, 16/07/2009 - 17:13

The Bermuda House of Assembly has passed six bills which aim to improve the operations of businesses in Bermuda, according to an update by Fiona Gores of international law firm Appleby. »

Bermuda reports progress in enhancing financial regulation

Bermuda reports progress in enhancing financial regulation

Wed, 15/07/2009 - 13:13

The Bermuda Monetary Authority says it made significant progress toward enhancing the regulatory framework for Bermuda's financial services industry during 2008. »

MFA commends CDS working group report

MFA commends CDS working group report

Tue, 14/07/2009 - 13:06

The Managed Funds Association has commended a working group paper analyzing US and European credit default swap clearing solutions. »

Aima welcomes white paper on reforming financial markets

Aima welcomes white paper on reforming financial markets

Fri, 10/07/2009 - 07:07

The Alternative Investment Management Association has welcomed comments about the hedge fund industry contained in the Treasury's white paper on reforming financial markets. »

Offshore law firm Appleby opens in Bahrain

Offshore law firm Appleby opens in Bahrain

Wed, 08/07/2009 - 12:45

Appleby, an offshore law firm, has opened a representative office in the Kingdom of Bahrain.  »

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