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Legal & Regulation

Michael Megaw, SS&C GlobeOp

SS&C GlobeOp’s Megaw discusses FATCA developments

Mon, 23/06/2014 - 11:49

On 2 June 2014 the IRS published its first list of FATCA-compliant institutions in what represents the first significant sign of FATCA regulation gathering pace.   »


Maitland launches AIFMD fund platform in Luxembourg

Fri, 20/06/2014 - 14:01

Maitland has received approval from the Luxembourg regulator (CSSF Luxembourg) for its Alternative Investment Fund Manager Directive (AIFMD) compliant management company and specialised investment fund. »


Winsome and US Ventures to pay over USD40m for commodity pool fraud

Fri, 20/06/2014 - 11:45

The US Commodity Futures Trading Commission (CFTC) has obtained a federal court order requiring Robert J Andres and his company Winsome Investment Trust and Robert L Holloway and his company US Ventures (USV) to pay a civil monetary penalty of USD32,370,000 and restitution for defrauded customers totalling USD12 million.  »

Union Jack Pound

British firms fined over GBP500m by FCA in 2013, says Kinetic Partners

Wed, 18/06/2014 - 14:06

The Financial Conduct Authority (FCA) penalised British firms a total of GBP506.94m (USD770m) in 2013, according to research from Kinetic Partners. »


Court gives green light to Cantor Fitzgerald gaming assets lawsuit

Wed, 18/06/2014 - 10:00

A federal judge has upheld all of the key claims in a lawsuit filed against financial services firm Cantor Fitzgerald and its owner and chief executive Howard Lutnick by the bankruptcy estate of former futures broker Refco Inc. »

Computer screen

Latest Linedata Mshare release addresses regulation and growth

Tue, 17/06/2014 - 14:33

Linedata has released a new version of its transfer agency software Linedata Mshare, which is designed to address client concerns over both regulatory compliance and how to attract new business. »


MiFID II published in the Official Journal of the EU

Fri, 13/06/2014 - 11:58

The EU has published MiFID II in the Official Journal (OJ) following more than two and a half years of consultation and negotiation. »


CFTC obtains SK Madison Commodities judgment for commodity pool fraud

Thu, 12/06/2014 - 13:03

The US Commodity Futures Trading Commission (CFTC) has secured an order of default judgment and permanent injunction against Michael James Seward, Yan Kaziyev, and their company SK Madison Commodities.  »

Magnifying glass

EisnerAmper launches compliance consultancy for investment advisers

Thu, 12/06/2014 - 12:00

EisnerAmper has launched EisnerAmper Compliance and Regulatory Services (CARS), a full-service consultancy providing outsourced compliance programmes and solutions to US and offshore investment advisers. »


Rise of big data to put UK financial services firms in regulatory firing line

Thu, 12/06/2014 - 06:00

The exponential growth of Big Data will trigger a sharp rise in UK financial services firms being investigated, and potentially fined, by regulators, according to Data-as-a-Service provider Anomaly42. »

Electronic trading floor

Majority of SEFs adopt FIX Protocol

Wed, 11/06/2014 - 15:10

The majority of swap execution facilities (SEFs), including BGC Derivative Markets, Bloomberg, trueEX, GFI Group, ICE Swap Trade, MarketAxess, Tradeweb, Tradition Trad-X and Tullett Prebon, have now adopted the FIX Protocol. »

James Roberts, BDO

Corporate reporting guidance from FRC is timely and important

Tue, 10/06/2014 - 12:17

James Roberts (pictured), Audit partner at BDO, welcomes The Financial Reporting Council’s (FRC) announcement of a programme of work to promote clear and concise reporting from which investors can draw conclusions about a company’s performance, position and prospects… »


FCA provides guidance on Annex IV reporting

Mon, 09/06/2014 - 16:05

Representatives from the Financial Conduct Authority (FCA) provided guidance on the upcoming Annex IV reporting at a meeting sponsored by the Investment Management Association, the primary AIFM industry group in London.  »

Derek Adler, International Financial Administration

Article 19 – Have we not learnt our lessons?

Mon, 09/06/2014 - 13:58

By Derek Adler, Director, International Financial Administration Ltd – Let me state at the outset that I am absolutely in favour and welcome good regulation, but am opposed to regulation just for the sake of it. »

Gavel and scales

SEC charges Liquidnet over failures to safeguard confidential trading information

Mon, 09/06/2014 - 10:01

The Securities and Exchange Commission (SEC) has charged dark pool alternative trading system operator Liquidnet with improperly using subscribers’ confidential trading information in marketing its services. »


Jersey to host four day conference and seminar in partnership with the US SEC

Fri, 06/06/2014 - 15:00

Jersey is to host a high level conference organised jointly by the US Securities and Exchange Commission (SEC) and the Jersey Financial Services Commission. »

Timothy Massad

Timothy Massad sworn in as chairman of US CFTC

Fri, 06/06/2014 - 12:00

Timothy Massad has been officially sworn in as the chairman of the US Commodity Futures Trading Commission (CFTC), the federal agency that oversees the commodity futures, options and swaps industry.  »

Approved stamp

NFA's board of directors approves reduction in assessment fees

Fri, 06/06/2014 - 10:02

The National Futures Association’s (NFA) board of directors has approved a reduction in the assessment fees it levies on futures contracts and options on futures contracts traded on behalf of public customers from USD.02 to USD.01 per side. »


CFTC extends no-action letter on transaction-level requirements in cross-border situations

Thu, 05/06/2014 - 12:43

The US Commodity Futures Trading Commission (CFTC) has issued a time-limited no-action letter that extends relief to swap dealers (SDs) registered with the Commission that are established under the laws of jurisdictions other than the US from certain transaction-level requirements under the Commodity Exchange Act. »

Joined hands

DeAWM partners with CAIA

Thu, 05/06/2014 - 12:01

Deutsche Asset & Wealth Management (DeAWM) has formed a new partnership with the Chartered Alternative Investment Analyst (CAIA) Association. »

Bill Stone, chairman and chief executive officer, SS&C Technologies

SS&C GlobeOp notches up 150 customers for regulatory services

Wed, 04/06/2014 - 14:00

SS&C Technologies is now supporting 150 customers through the SS&C GlobeOp Regulatory Solutions Group, which assists funds of all types with Form PF, FATCA, AIFMD and other compliance and reporting rules. »

Trading screens

ICE Clear Europe secures CFTC order permitting portfolio margining of futures and foreign futures contracts

Tue, 03/06/2014 - 06:03

The Commodity Futures Trading Commission has issued an order granting a request from ICE Clear Europe regarding portfolio margining of futures and foreign futures contracts. »

Canada flag

CFTC issues no-action letter for Canadian swap dealers over quarterly risk exposure reports

Mon, 02/06/2014 - 10:04

The US Commodity Futures Trading Commission (CFTC) has issued a time-limited no-action letter that provides relief to each of the five Canadian banks that are registered with the CFTC as swap dealers. »

Robert Shapiro

ATFA’s Robert J Shapiro and Nancy Soderberg support Argentina's settlement with Paris Club

Fri, 30/05/2014 - 14:49

Following Argentina's agreement to resolve its USD9.7 billion in debts to Paris Club member nations within five years, American Task Force Argentina co-chairs Robert Shapiro and Ambassador Nancy Soderberg have declared their support for Argentina's pledge to act responsibly and encouraged the Argentine government to go further. »

Gavel and scales

SEC charges Chicago-based investment fund manager over Ponzi scheme

Fri, 30/05/2014 - 14:05

The Securities and Exchange Commission (SEC) has issued fraud charges and an asset freeze against an investment fund manager accused of stealing money from investors to pay personal and business expenses. »

Up arrow

Regulators’ expenditure increases by nearly 60 per cent in recent years

Wed, 28/05/2014 - 12:00

US, UK and Hong Kong financial services regulators have increased their expenditure over the last seven years by 59.4 per cent, an average of 8.075 per cent each year, since the end of fiscal year 2006/07, according to Kinetic Partners. »


Clearstream issues monitoring report to help depositary banks comply with AIFMD

Tue, 27/05/2014 - 15:00

Clearstream has issued the Domestic Markets Monitoring Report to support depositary banks in managing their new obligations as stipulated by the Alternative Investment Fund Manager Directive (AIFMD). »


CFTC provides new guidance for delegating CPOs

Tue, 27/05/2014 - 10:07

Certain commodity pool operators (delegating CPOs) delegating investment management authority to registered CPOs (designated CPOs) will be able to request relief from CPO registration using a new “standardized, streamlined approach”. »


Acting CFTC chairman Mark Wetjen announces three actions to protect liquidity

Mon, 26/05/2014 - 16:00

The Commodity Futures Trading Commission’s acting chairman Mark Wetjen and commissioner Scott O’Malia have announced three actions to benefit utility special entities, further consider certain hedging practices for commercial market participants, and promote end-user trading on swap execution facilities (SEFs) and designated contract markets (DCMs).  »


Supreme Court LLP 'whistle-blowing' ruling is good news

Thu, 22/05/2014 - 09:34

Michelle Chance, Partner, Employment and Partnership law, at Kingsley Napley LLP comments on the Supreme Court judgment determining that LLP members should be defined as workers in respect of the Public Interest Disclosure Act 1998… »

Special report
US Hedge Fund Services 2015

US Hedge Fund Services 2015

Wed, 30/09/2015 - 11:21

A rising tide of regulation is threatening to swamp US hedge funds with significant trading, distribution and reporting issues.This Hedgeweek Special Report unravels these issues, guides managers through the solutions currently available to them, and examines the challenges of running activist hedge funds, where assets have grown to USD120 billion over the past decade... »

Special report
The TYVIX Index: Navigating through interest rate volatility

With interest rates set to rise, this Hedgeweek Special Report examines the the latest tools available to fixed income investors and traders in the form of the CBOE/CBOT 10-year US Treasury Note Volatility Index (The TYVIX Index) and TYVIX futures, which give traders an effective way to hedge, gain exposure to, or trade interest rate volatility.... »

Preqin Special Report: Hedge Fund Manager Outlook – Augst 2015

Unrealised assets in tail-end funds

Mon, 28/09/2015 - 14:40

Distributions from private equity funds have improved greatly in recent years as managers have taken advantage of improving market conditions to realise value from remaining assets in their portfolios. This has gone some way to alleviating concerns regarding the overhang of unrealised value in ageing funds; however, the issue has not yet been fully rectified, particularly as funds raised in the boom years of 2005-2008 reach the 10-year mark. ... »

Index options & futures

John Angelos, CBOE

Interest rate volatility is like a storm cloud building on the horizon. The US Federal Reserve has kept rates stable for nigh on a decade, but global asset managers are now preparing for their fixed income portfolios to feel the impact of a rate rise later this year.  ... »


Dixon Boardman

Dixon Boardman, a veteran hedge fund of fund manager, is a survivor. Having founded, Optima Fund Management in 1988, his firm now manages USD4 billion. Boardman – and Optima - have stood firm through a sustained period of challenges for the fund of funds business. ... »

Data Scientist - PhD

Tue, 06 Oct 2015 00:00:00 GMT

Ph. D / Quantitative Researcher - NYC

Tue, 06 Oct 2015 00:00:00 GMT

Algo Systems Engineer

Tue, 06 Oct 2015 00:00:00 GMT

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