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Legal & Regulation

Deutsche Börse and Eurex support OTC derivatives market proposals

Deutsche Börse and Eurex support OTC derivatives market proposals

Thu, 22/10/2009 - 12:01

Deutsche Börse and Eurex have welcomed the communication issued by the EU Commission which aims to reduce systemic risks in the over-the-counter derivatives market. »

Hedge funds warned of regulatory backlash by Dutch manager

Hedge funds warned of regulatory backlash by Dutch manager

Tue, 20/10/2009 - 12:05

Hedge funds and private equity houses need to be prepared for a backlash in the wake of the credit crisis, according to Roland van den Brink, board member at Mn Services. »

Queensland investment scheme promoter jailed

Queensland investment scheme promoter jailed

Mon, 19/10/2009 - 16:03

Brett Tony Best of Middle Park, Brisbane, has been sentenced to 13 years imprisonment for various charges related to operating an unregistered managed investment scheme while director of Arafura Equities. »

Guernsey reviews corporate tax regime

Guernsey reviews corporate tax regime

Mon, 19/10/2009 - 15:58

Guernsey is reviewing its corporate tax regime in line with its agreed fiscal and economic strategy. »

CFTC and SEC issue joint report on regulatory harmonization

CFTC and SEC issue joint report on regulatory harmonization

Mon, 19/10/2009 - 11:07

The Commodity Futures Trading Commission and the Securities and Exchange Commission have issued a joint report identifying areas where the agencies’ regulatory schemes differ and recommending actions to address those differences, where appropriate. »

CFTC charges Florida resident and his Panamanian corporation with fraud and misappropriation

CFTC charges Florida resident and his Panamanian corporation with fraud and misappropriation

Mon, 19/10/2009 - 06:00

The US Commodity Futures Trading Commission (CFTC) has filed an enforcement action against Trader’s International Return Network (TIRN), a Panamanian corporation, and its president David Merrick of Apopka, Florida, charging them with solicitation fraud and misappropriation of customer funds involving at least USD16.4 million. »

Directive must not undermine benefits of investment companies, says AIC

Directive must not undermine benefits of investment companies, says AIC

Tue, 13/10/2009 - 13:45

The Association of Investment Companies says the proposed Alternative Investment Fund Managers Directive fails to take account of the benefits the investment company structure provides for shareholders.  »

Chatham Financial testifies in OTC derivatives legislation hearing

Chatham Financial testifies in OTC derivatives legislation hearing

Mon, 12/10/2009 - 11:16

Chatham Financial, an interest rate and foreign exchange risk management adviser, has testified before the House Financial Services Committee hearing on derivatives legislation. »

Funds debate reveals Guernsey is aiming for EU equivalence

Funds debate reveals Guernsey is aiming for EU equivalence

Mon, 12/10/2009 - 05:50

Leaders from Guernsey’s funds industry have revealed that the island is aiming to achieve equivalence with the EU in light of the proposed Directive on Alternative Investment Fund Managers. »

Aima signals new phase of engagement on alternatives directive

Aima signals new phase of engagement on alternatives directive

Thu, 08/10/2009 - 16:07

The Alternative Investment Management Association has signalled a new phase of engagement with European policymakers on the European Commission’s draft Directive on Alternative Investment Fund Managers. »

CFTC asks whether 17 contracts perform significant price discovery functions

CFTC asks whether 17 contracts perform significant price discovery functions

Thu, 08/10/2009 - 10:42

The US Commodity Futures Trading Commission has issued a notice of intent to undertake a determination whether 17 contracts offered for trading on the IntercontinentalExchange perform significant price discovery functions.  »

MFA reaffirms support for enhancing oversight of private pools of capital

MFA reaffirms support for enhancing oversight of private pools of capital

Wed, 07/10/2009 - 16:03

The Managed Funds Association has reaffirmed its support for proposals that would enhance the transparency and regulatory oversight over private pools of capital, including hedge funds and managed futures funds. »

SEC approves new exchange rules for breaking erroneous trades

SEC approves new exchange rules for breaking erroneous trades

Wed, 07/10/2009 - 11:58

The Securities and Exchange Commission has approved new exchange rules for breaking stock trades that deviate so substantially from current market prices that they are considered “clearly erroneous”. »

BVI upgrades annual fund returns procedure

BVI upgrades annual fund returns procedure

Mon, 05/10/2009 - 06:30

The British Virgin Islands Financial Services Commission has introduced a new electronic reporting system for filing annual fund returns. »

Luxembourg to exempt microfinance investment funds from subscription tax

Luxembourg to exempt microfinance investment funds from subscription tax

Sun, 04/10/2009 - 14:37

In its proposal for the State Budget 2010, to be adopted by the Luxembourg Parliament in December, the Luxembourg Government has included an exemption from subscription tax for microfinance investment funds. »

Butterfield Fulcrum licensed by Irish Financial Services Regulatory Authority

Butterfield Fulcrum licensed by Irish Financial Services Regulatory Authority

Thu, 01/10/2009 - 11:56

Butterfield Fulcrum Group (Ireland), an alternative fund administration company, has been licensed to provide fund administration services by the Irish Financial Services Regulatory Authority. »

PrimeFundSolutions Luxembourg licence is approved

PrimeFundSolutions Luxembourg licence is approved

Tue, 29/09/2009 - 15:52

PrimeFundSolutions has received approval of its Luxembourg licence applications by the Luxembourg regulator CSSF and by the Luxembourg Minister of Finance. »

UK dithering is harming Cayman business, says CIFSA

UK dithering is harming Cayman business, says CIFSA

Mon, 28/09/2009 - 11:37

The delay by the British Government in signing off on funding arrangements in the Cayman Islands is becoming a major cause for concern among leading business practitioners, according to the Cayman Islands Financial Services Association. »

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

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

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

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

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

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

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

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. »

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