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Legal & 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. »


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. »


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. »


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). »


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. »


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). »


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. »


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. »


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. »


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). »


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. »


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. »


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). »

Electronic trading floor

Trading industry adopts FIX protocol for TESI

Fri, 28/02/2014 - 06:11

The global trading industry has begun implementation of the guidelines set down by the FIX Trading Community to reduce operational risk and enable more efficient set up of clients on OTC electronic trading platforms. »


Iconic launches Malta-domiciled hosted funds platform

Thu, 27/02/2014 - 16:45

Iconic is launching a turnkey Malta authorised, EU-compliant hosted-funds platform enabling EU and non EU based fund managers to run their own fully supported and administered funds. »


Enhance Group selects Confluence for AIFMD technology solution

Thu, 27/02/2014 - 06:08

Enhance Group, a Jersey-based investment consultancy firm, has selected Unity NXT AIFMD Transparency Reporting from Confluence for its AIFMD transparency reporting requirements. »

James Williams, Hedgeweek

Understanding the role of the depository under AIFMD

Wed, 26/02/2014 - 20:09

The Alternative Investment Fund Managers Directive (AIFMD) has many moving parts for alternative investment fund managers to get their heads around. But perhaps one of the most salient issues they face – particularly managers running offshore funds – is the requirement to appoint a depository. »


Cordium acquires Maltese advisory and compliance consultancy Zodiac

Tue, 25/02/2014 - 16:03

Cordium has acquired Zodiac Advisory Services, a provider of compliance, risk, accounting and governance services for the investment management industry in Malta. 


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