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Legal & Regulation

FSA approves Xtrakter for regulatory reporting of derivatives

FSA approves Xtrakter for regulatory reporting of derivatives

Tue, 26/01/2010 - 16:09

The UK Financial Services Authority has approved Xtrakter to regulatory report exchange-traded derivatives using alternative instrument identifiers. »

News analysis: Uncertainty reigns as Obama targets banks’ ties to alternatives

News analysis: Uncertainty reigns as Obama targets banks’ ties to alternatives

Mon, 25/01/2010 - 10:47

US President Barack Obama’s call last Thursday for banks benefiting from a public safety net to be barred for “owning, investing in or sponsoring” private equity and hedge funds as part of wider strategy to curb excessive risk-taking by financial institutions that have benefited from public support, could have broad implications for the alternative investment industry well beyond the borders of the US. »

Malta publishes guidelines for redomiciliation of offshore funds

Malta publishes guidelines for redomiciliation of offshore funds

Tue, 12/01/2010 - 11:24

The Malta Financial Services Authority has published guidelines regarding the redomiciliation of offshore funds to Malta under the Companies Act, Continuation of Companies Regulations, 2002. »

Bahamas on track with information exchange agreements

Bahamas on track with information exchange agreements

Mon, 11/01/2010 - 06:26

The Bahamas has concluded Tax Information Exchange Agreement negotiations with 23 countries, signed ten agreements and will meet the G20/OECD’s March 2010 deadline of a minimum of 12 signed agreements. »

HMRC clarifies bank payroll tax

HMRC clarifies bank payroll tax

Tue, 22/12/2009 - 10:35

HM Revenue & Customs has clarified what constitutes a bank following its announcement on 9 December that it will be implementing a bank payroll tax. »

Law to enhance efficiency of fund re-domiciliation to Ireland

Law to enhance efficiency of fund re-domiciliation to Ireland

Mon, 21/12/2009 - 12:00

The Irish Funds Industry Association has welcomed new legislation passed by Seanad Éireann, the upper house of the Irish parliament, which will enable investment funds to re-domicile to Ireland simply and efficiently. »

Two Westpoint settlements reached in Australia

Two Westpoint settlements reached in Australia

Thu, 17/12/2009 - 06:02

The Federal Court of Australia has approved the settlement of a compensation claim initiated by the Australian Securities and Investments Commission for Bongiorno Financial Advisers clients who were advised to invest in York Street Mezzanine, a company within the failed Westpoint Group. »

Law firms Lovells and Hogan & Hartson to merge

Law firms Lovells and Hogan & Hartson to merge

Wed, 16/12/2009 - 15:02

The partners at law firms Lovells and Hogan & Hartson have decided to merge the two firms.  »

Hedge funds will face increased regulation, survey finds

Hedge funds will face increased regulation, survey finds

Mon, 14/12/2009 - 06:28

Hedge funds were not a major contributor to the stock market crash of 2008 and early 2009, but they are very likely to face increased regulation, according to the latest survey of the world’s media from Walek. »

Regulatory arbitrage a major threat in 2010, survey finds

Regulatory arbitrage a major threat in 2010, survey finds

Thu, 10/12/2009 - 15:58

Current attempts to tighten the regulation of financial services could lead to regulatory arbitrage among countries, according to a survey by advisory firm Kinetic Partners. »

Guernsey’s Chief Minister questions onshore/offshore divide

Guernsey’s Chief Minister questions onshore/offshore divide

Wed, 09/12/2009 - 07:13

Guernsey’s Chief Minister Lyndon Trott has told a major London conference that the island should not be “dismissively” compartmentalised as an offshore centre. »

Highland Capital Management settles Deutsche Bank suit

Highland Capital Management settles Deutsche Bank suit

Sun, 06/12/2009 - 11:48

Three hedge funds managed by Highland Capital Management have reached a settlement with Deutsche Bank pertaining to the funds' suit against Deutsche Bank and Deutsche Bank's suit against such funds, filed in October and November 2008. »

Revised EU directive threatens to topple London as leading financial centre

Revised EU directive threatens to topple London as leading financial centre

Wed, 02/12/2009 - 07:28

Sigma Partnership says it is becoming increasingly apparent to US, Asia and non-EU based managers and advisers that the EU directive is more protectionist than ever. »

Conyers to advise on Cyprus law

Conyers to advise on Cyprus law

Tue, 01/12/2009 - 15:50

Multi-jurisdictional law firm Conyers Dill & Pearman will be adding Cyprus legal advice to its roster of jurisdictions. »

Aima welcomes Swedish text for AIFM Directive

Aima welcomes Swedish text for AIFM Directive

Mon, 16/11/2009 - 06:05

The Alternative Investment Management Association has welcomed the work of the Swedish Presidency in producing compromise text for the Alternative Investment Fund Managers Directive. »

Fund advisers must prepare for regulatory changes, says Kinetic

Fund advisers must prepare for regulatory changes, says Kinetic

Wed, 11/11/2009 - 16:04

Kinetic Partners, a global professional services firm focused exclusively on the asset management industry, has emphasised the need for hedge fund and private equity fund advisers to take immediate action to prepare for the impending regulatory changes. »

CFTC amends reporting requirements for commodity pool operators

CFTC amends reporting requirements for commodity pool operators

Wed, 11/11/2009 - 12:06

The Commodity Futures Trading Commission has adopted amendments to its regulations regarding periodic and annual reporting requirements applicable to commodity pool operators. »

CFA members support directive’s requirements for fund managers

CFA members support directive’s requirements for fund managers

Thu, 05/11/2009 - 10:28

Ninety four per cent of respondents to a survey conducted by the CFA Institute Centre for Financial Market Integrity support mandatory requirements consistent with the proposed Alternative Investment Fund Managers Directive that managers of alternative investment funds act with honesty, fairness, and with the best interests of investors in mind. »

Court freezes assets of Chicago commodity pool in USD1m anti-fraud case

Court freezes assets of Chicago commodity pool in USD1m anti-fraud case

Mon, 02/11/2009 - 15:59

The US Commodity Futures Trading Commission has obtained an emergency court order freezing assets held by defendants Raleigh Capital Management of Chicago and its sole principal, Richmond Hamilton, Jr., who resides in Morocco. »

ASIC starts civil proceedings against former officers of MFS

ASIC starts civil proceedings against former officers of MFS

Mon, 02/11/2009 - 12:07

The Australian Securities and Investments Commission has commenced civil proceedings in the Supreme Court of Queensland against three subsidiary companies of the formerly listed MFS (now known as Octaviar) and four former officers and one manager of MFS Investment Management. »

Guernsey welcomes conclusions of Foot Review

Guernsey welcomes conclusions of Foot Review

Mon, 02/11/2009 - 06:00

The States of Guernsey has welcomed the final report of the Foot Review, which examines the long-term opportunities and challenges facing British Crown Dependencies and overseas territories as financial centres. »

Edhec welcomes consultations on Ucits depositary function

Edhec welcomes consultations on Ucits depositary function

Sun, 01/11/2009 - 15:58

A recent Edhec position paper has welcomed the European Commission’s consultation on the Ucits depositary function, but stresses that an in-depth study of the regulations and practices of those who are part of the value chain is necessary. »

Australian Court approves compensation for Westpoint investors

Australian Court approves compensation for Westpoint investors

Sun, 01/11/2009 - 13:43

The Federal Court of Australia has approved the settlement of a compensation claim to clients who were advised by Professional Investment Services to invest in the failed Westpoint Group. »

Jersey Finance welcomes review of British offshore financial centres

Jersey Finance welcomes review of British offshore financial centres

Sun, 01/11/2009 - 11:59

Jersey Finance has welcomed the conclusions of the Review of British Offshore Financial Centres, which was launched in November last year when Michael Foot was asked to review the opportunities and challenges facing British Crown Dependencies and overseas territories that had significant financial centres. »

BNY Mellon subsidiary receives banking licence in Ireland

BNY Mellon subsidiary receives banking licence in Ireland

Fri, 30/10/2009 - 07:03

BNY Mellon has received approval from the Irish Financial Regulator to establish a new bank licensed entity in Ireland. »

Comment: Much ado about nothing?

Comment: Much ado about nothing?

Fri, 30/10/2009 - 06:00

At first glance, it would be easy to say that the report by former UK regulator Michael Foot on the three British crown dependencies and six other overseas territories was a statement of the blindingly obvious. And possibly at second glance, too. »

Asset managers embrace arrival of Ucits IV, survey finds

Asset managers embrace arrival of Ucits IV, survey finds

Mon, 26/10/2009 - 14:17

A survey published by RBC Dexia Investor Services and KPMG shows how some of Europe's largest asset managers plan to capitalise on Ucits IV and identifies how these reforms will contribute to wider changes across the European investment fund landscape. »

Gibraltar joins OECD tax information exchange white list

Gibraltar joins OECD tax information exchange white list

Sun, 25/10/2009 - 10:57

Following the signing of tax information exchange agreements with Finland, Greenland and Faroe Islands, Gibraltar has now signed 13 such agreements and has accordingly been transferred by the OECD onto its white list. »

Bermuda Monetary Authority forms initiative to improve disclosure practices

Bermuda Monetary Authority forms initiative to improve disclosure practices

Sun, 25/10/2009 - 09:38

The Bermuda Monetary Authority has established a joint initiative with industry representatives and the Pensions Commission aimed at improving disclosure practices among Bermuda pension providers and investment firms. »

Regulators should move slowly on high-frequency trading, says Greenwich

Regulators should move slowly on high-frequency trading, says Greenwich

Thu, 22/10/2009 - 14:11

Institutional investors around the world would support new regulations on high-frequency trading, but much of this support appears centered on specific practices such as the use of flash orders, a survey by Greenwich has revealed. »

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