Sign up for free newsletter

 

Legal & Regulation

Report

CFTC releases rule enforcement review of OneChicago

Tue, 08/04/2014 - 14:25

The Commodity Futures Trading Commission’s division of market oversight has issued the results of a rule enforcement review of OneChicago.  »

Gavel

Customers of MF Global to begin receiving final restitution payments

Fri, 04/04/2014 - 16:00

The trustee for MF Global will begin making final distributions to satisfy its obligation of full restitution for USD1.212bn in losses sustained by customers when the company failed in 2011. »

Kevin Gundle

Investors will miss out on returns if they don’t navigate AIFMD barriers, says Aurum

Fri, 04/04/2014 - 15:04

The barriers for investment created by the Alternative Investment Fund Managers Directive (AIFMD) are still preventing investors from reaching European funds, despite solutions becoming available, according to Aurum. »

Monique Meils, Kinetic Partners

Balance is key to whistleblowing programs

Thu, 03/04/2014 - 09:49

Monique Melis (pictured), Global Head of Consulting at Kinetic Partners, the global professional services firm comments on whistle blowers… »

Regulation

FCA sets out its regulatory priorities for asset managers

Wed, 02/04/2014 - 12:01

The Financial Conduct Authority (FCA) has revealed its thematic supervisory plans for 2014/15 as a central part of its annual Business Plan. »

Regulation

Misys launches regulatory reporting service

Tue, 01/04/2014 - 16:00

Misys has launched a new regulatory reporting service, enabling corporates, fund managers and smaller banks to meet their EMIR-specific reporting requirements. »

Report

OTC derivatives regulators issue report to G20

Tue, 01/04/2014 - 11:53

The Over-the-Counter (OTC) Derivatives Regulators Group (ODRG) has issued a report that identifies the current list of remaining cross-border implementation issues related to global reform of OTC derivatives markets. »

Survey

Fund managers still concerned about AIFMD reporting, says Confluence

Tue, 01/04/2014 - 06:02

More than two-thirds (67 per cent) of alternative investment fund managers say they are still concerned about reporting to local regulators, despite nearly all (95 per cent) saying they feel informed on the requirements of AIFMD. »

Kenton Farmer, European head, OTC derivatives operations at SS&C GlobeOp

SS&C GlobeOp’s Kenton Farmer discusses EMIR Transaction Reporting Solution

Mon, 31/03/2014 - 13:02

As with any new piece of legislation, things tend to be a bit chaotic at the start and for European market participants EMIR Transaction Reporting has proved no exception. »

Tax

Luxembourg and the US sign Model 1 IGA

Mon, 31/03/2014 - 12:01

The US and Luxembourg governments have signed an agreement to improve international tax compliance and to implement the Foreign Account Tax Compliance Act (FATCA). »

Slow

Investment managers behind the curve on FATCA prep, says SEI

Thu, 27/03/2014 - 06:01

Many investment managers are still coming to grips with the related operational, staffing, and budgetary requirements of the Foreign Account Tax Compliance Act (FATCA), according to a paper by SEI. »

Money and calculator

Cologny Advisors appoints SuMi TRUST as AIFMD depositary

Wed, 26/03/2014 - 12:33

SuMi TRUST Global Asset Services' trustee business, SMT Trustees (Ireland) Limited, has been appointed as the AIFMD depositary for Cologny Advisors’ Camox Fund. »

Joined hands

Sturgeon Ventures enters JV with Dublin’s Gandon Alternative Fund Management

Wed, 26/03/2014 - 06:01

Sturgeon Ventures, the regulatory incubator, has entered into a joint venture with Dublin-based Gandon Alternative Fund Management to offer a full regulatory service for alternative investment funds (AIFs) in Europe. »

Dollars

Morgan Stanley Capital Group to pay USD200,000 to settle CFTC charges

Tue, 25/03/2014 - 15:05

Morgan Stanley Capital Group (MSCGI) has agreed to pay a USD200,000 civil monetary penalty to settle CFTC charges that it exceeded speculative position limits in soybean meal futures contracts trading on the Chicago Board of Trade (CBOT). »

Regulation

Apsley joins forces with PartnerRe to tackle hedge fund AIFMD insurance requirements

Mon, 24/03/2014 - 11:48

New insurance provider Apsley Specialty has teamed up with PartnerRe to launch a specialist underwriting service to the hedge fund sector to deal with the new AIFMD requirements. »

Ponzi scheme

Patrick Cole and Global Strategic Marketing fined USD2.2m over forex Ponzi scheme

Mon, 24/03/2014 - 10:04

Patrick Cole and his company, Global Strategic Marketing (GSM), are to pay over USD2.2m in a CFTC enforcement action over a multi-million dollar off-exchange foreign currency (forex) Ponzi scheme. »

Regulation

Maples Fund Services expands regulatory reporting service

Wed, 19/03/2014 - 10:05

Maples Fund Services has extended its regulatory reporting service to incorporate Annex IV reporting for AIFMD. »

Numbers and magnifying glass

Vontobel Asset Management appoints KNEIP for fund data management

Tue, 18/03/2014 - 16:30

KNEIP has been appointed by Vontobel Asset Management to carry out fund data management, regulatory filing, KIID production and dissemination and financial reporting. »

Fraud

Alexander HG Mascioli and hedge fund North Street Capital charged with fraud

Fri, 14/03/2014 - 14:30

The Securities and Exchange Commission has filed settled fraud charges against Alexander HG Mascioli and his alter-ego, purported hedge fund, North Street Capital (NSC). »

Hong Kong

UBS tried to rig Hong Kong interest rate, says regulator

Fri, 14/03/2014 - 13:24

Traders at UBS tried to rig the Hong Kong Interbank Offered Rate (HIBOR), an investigation has found. »

Gavel

SEC charges CR Intrinsic analyst with insider trading

Fri, 14/03/2014 - 12:16

The Securities and Exchange Commission (SEC) has charged a former analyst at an affiliate of hedge fund advisory firm SAC Capital Advisors with insider trading.  »

Germany flag

Simmons & Simmons Frankfurt advises US AIFM on registration of Cayman AIF

Fri, 14/03/2014 - 10:10

The Simmons & Simmons financial services team in Frankfurt has supported a US alternative investment fund manager (AIFM) with the registration of a Cayman alternative investment fund (AIF). »

Gavel

SEC charges Jefferies with failing to supervise mortgage-backed securities desk

Thu, 13/03/2014 - 12:04

The Securities and Exchange Commission (SEC) has charged Jefferies with failing to supervise employees on its mortgage-backed securities desk who were lying to customers about pricing. »

Michael Sanders, managing director of Alceda Asset Management

Alceda granted multi-asset AIFM status in Germany

Thu, 13/03/2014 - 06:00

Alceda Asset Management has been granted a licence to act as Alternative Investment Fund Manager (AIFM) by the German Federal Financial Supervisory Authority (BaFin). »

Document and pen

US CFTC and Financial Services Agency of Japan sign MOC on cross-border regulated entities

Tue, 11/03/2014 - 14:26

Leaders of the US Commodity Futures Trading Commission (CFTC) and the Financial Services Agency of Japan (JFSA) have signed a memorandum of cooperation (MOC) regarding the supervision and oversight of regulated entities that operate on a cross-border basis in the US and Japan. »

European flags

KNEIP expands service offering to meet regulatory demands in Europe

Fri, 07/03/2014 - 14:06

KNEIP has launched an expanded service offering to help asset managers meet the increased demands posed by regulation in Europe. »

Report

ICMA European Repo Council publishes best practice guide for repo market

Thu, 06/03/2014 - 10:06

ICMA’s European Repo Council (ERC) has launched its updated guide to best practice in the European repo market, setting out standards for the orderly trading and settlement of repos. »

Regulation

SEI expands regulatory solution

Wed, 05/03/2014 - 14:11

SEI has expanded the regulatory component of its operating platform, adding technology and process enhancements that enable managers to streamline the regulatory filing process. »

Hedge fund administration

UBS Fund Services launches Depositary "Lite" platform

Tue, 04/03/2014 - 15:00

UBS Fund Services has launched its Depositary "Lite" platform to help managers of offshore funds fulfil the requirements of the Alternative Investment Funds Directive (AIFMD). »

Ireland flag

Up to 90 fund managers to be authorised in Ireland before AIFMD deadline

Mon, 03/03/2014 - 14:08

The Irish Funds Industry Association (IFIA) has noted a significant uptake in applications by fund managers seeking authorisation in Ireland under the new Alternative Investment Fund Managers Directive (AIFMD). »

features
Article
Preqin Special Report: Hedge Fund Manager Outlook – Augst 2015

In this excerpt from Preqin Special Report: Hedge Fund Manager Outlook, we take a closer look at the level of competition in the industry today and use our latest survey results to reveal fund manager predictions for asset growth for the rest of 2015. ... »

Article
survey

The Preqin Special Report: Private Debt Fund Manager Outlook features exclusive survey results drawn from over 100 private debt fund managers worldwide. This extract discusses what fund managers have highlighted as the biggest issues facing the industry and their views on regulation. ... »

Special report
Cybersecurty for Hedge Funds

Cybersecurity for Hedge Funds

Thu, 30/07/2015 - 11:00

Cybersecurity is no longer simply an IT issue, it is now a business issue. This is the conclusion of the experts and fund managers around the world whose opinions were polled for this landmark Hedgeweek Special Report, which outlines Best Practices for Cybersecurity in a fast-changing environment where managers need to keep several steps ahead of cyber criminals... »

Article
EU Flag

Hedge fund manager outlook on the AIFMD

Wed, 22/07/2015 - 19:52

The introduction of the Alternative Investment Fund Managers Directive (AIFMD) into European law in 2013 was part of a series of moves towards greater regulatory oversight of the hedge fund industry in recent years. In our survey, we asked hedge fund managers for their views on the effect of these new regulations on the industry as well as their expectations about the impact of the AIFMD on their firm over the next 12 months, the results of which are analyzed in this extract from the Preqin Special Report: AIFMD in the Hedge Fund Industry – 2015 Update. ... »

Article
Ken MacCuish, Intralinks

A couple of years ago, the title Chief Information Security Officer, or CISO for short, was a foreign concept within the hedge fund community. The winds have changed, however, as hedge funds become increasingly targeted by cyber hackers, causing many to hire a CISO to uphold the network integrity of the firm.  ... »

Article
Sovereign Wealth Funds

Sovereign wealth funds, though small in number and secretive in nature, wield considerable influence as investors as a result of their sizeable assets under management. This extract is taken from Preqin’s latest report which features exclusive content from the 2015 Preqin Sovereign Wealth Fund Review.  ... »

latestjobs
Investment Banking VP (Financial Sponsors)

Fri, 28 Aug 2015 00:00:00 GMT

Investment Banking Restructuring Analyst/Associate

Fri, 28 Aug 2015 00:00:00 GMT

Investment Banking Associate (Specialty Finance)

Fri, 28 Aug 2015 00:00:00 GMT

events
2 days 6 hours from now - Texas
1 week 3 days from now - New York
1 week 4 days from now - New York
2 weeks 2 days from now - London
2 weeks 3 days from now - California
specialreports