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Legal & Regulation

Information

SuMi TRUST extends appointment of Kii Hub to produce KIIDs for UCITS funds

Mon, 02/12/2013 - 12:12

SMT Fund Services (Ireland) Limited has appointed Kii Hub to produce and deliver Key Investor Information Documents (KIIDs) for its established platform of UCITS funds.  »

Electronic trading floor

ICE Trade Vault Europe approved by ESMA as trade repository

Mon, 02/12/2013 - 06:03

The European Securities and Markets Authority (ESMA) has approved ICE Trade Vault Europe as a trade repository for the reporting of swaps and futures trade data to meet requirements of the European Market Infrastructure Regulation (EMIR). »

Traders

CME Group secures European TR approval

Fri, 29/11/2013 - 12:18

CME Group has received approval from the European Securities and Markets Authority (ESMA) as a trade repository (TR) under the European Market Infrastructure Regulation (EMIR). »

Dark pool

European investors have serious concerns about volume caps on dark pools

Thu, 28/11/2013 - 15:29

Rather than increase transparency, the latest proposals to restrict dark trading at four and eight per cent have the potential to create greater opacity as well as seriously impact institutional investors’ ability to execute order flow. »

Fiona Le Poidevin, Guernsey Finance

Meeting GP & LP demands

Wed, 27/11/2013 - 12:00

Evidence shows that Guernsey continues to meet the demands of both private equity managers and their investor base, writes Guernsey Finance chief executive Fiona Le Poidevin (pictured)… »

Traders

DTCC Limit Monitoring to provide early warning system to identify unusual trading activity

Wed, 27/11/2013 - 06:38

The National Securities Clearing Corporation (NSCC) has filed a proposed rule change with the Securities and Exchange Commission (SEC) to provide its members with a new tool designed to serve as an early warning system that alerts those firms to trading activity that is nearing defined trading limits. »

Report

Report identifies need for voluntary standards within financial services

Tue, 26/11/2013 - 16:02

The financial services industry is failing to adopt voluntary standards crucial to rebuilding trust in banking, despite overwhelming support from those working in the sector, according to a report. »

Lawsuit

Boutique law firms for the alternative assets industry merge PE and HW practices

Tue, 26/11/2013 - 13:17

MJ Hudson and MW Cornish & Co have merged their respective private equity and hedge funds practices with immediate effect. »

Gavel and scales

SHK Management and former principal to pay USD400,000 to settle CFTC charges

Tue, 26/11/2013 - 10:03

The US Commodity Futures Trading Commission (CFTC) has issued an order filing and settling charges that Daniel Shak of Las Vegas, Nevada and SHK Management attempted to manipulate crude oil futures contracts. »

Peter Harwood, Guernsey's Chief Minister

Shanghai’s Vice Mayor praises Guernsey’s quality and stability

Tue, 26/11/2013 - 06:16

The Vice Mayor of Shanghai has recognised the quality and stability of Guernsey’s financial services industry. »

Fraud

Former hedge fund manager indicted for defrauding investors and obstructing SEC

Thu, 21/11/2013 - 14:20

Stanley J Kowalewski has been arrested in South Carolina after being indicted by a federal grand jury in Atlanta for allegedly defrauding hedge fund investors of up to USD8m. »

European flags

Linedata strengthens European custodian and fund administrator presence

Thu, 21/11/2013 - 11:54

Linedata has recently upgraded four Luxembourg-based custodian and fund administrator clients to the latest version of Linedata Compliance.  »

Bill Prew, INDOS Financial chief executive

AIFMD depositary INDOS Financial attracts first clients

Wed, 20/11/2013 - 16:02

INDOS Financial, the only independent AIFMD depositary that has applied to the FCA for authorisation, has agreed provisional contracts with its first clients.  »

Fiona Le Poidevin, Guernsey Finance

ILS emerges as an alternative asset class

Wed, 20/11/2013 - 12:00

Fiona Le Poidevin (pictured), chief executive of Guernsey Finance, explores how Guernsey’s investment and insurance expertise mean it is capitalising on the opportunities presented by the growth of Insurance Linked Securities (ILS). »

Gavel

MF Global to pay USD1bn to cover customer losses

Mon, 18/11/2013 - 23:36

The US Commodity Futures Trading Commission (CFTC) has obtained a federal court consent Order against MF Global requiring it to pay USD1.212 billion to cover customer losses sustained when the company failed in 2011. »

Globe

CFTC advises on applicability of transaction-level requirements in cross-border situations

Mon, 18/11/2013 - 06:03

The division of swap dealer and intermediary oversight (DSIO) of the Commodity Futures Trading Commission (CFTC) has issued an advisory on the applicability of transaction-level requirements in certain cross-border situations. »

Survey

Kinetic Partners launches AIFMD hedge fund depositary due diligence checklist

Fri, 15/11/2013 - 12:06

Kinetic Partners has launched its AIFMD Hedge Fund DD checklist, which is designed to assist managers undertake the necessary due diligence over their depositary providers. »

Regulation

ESMA begins preparatory work for new market abuse regime

Thu, 14/11/2013 - 14:40

The European Securities and Markets Authority (ESMA) has published a Discussion Paper setting out its initial views on the implementing measures it will have to develop for the new Market Abuse Regulation (MAR). »

Steven Ferigno, Allegro Development Corporation

EMIR compliance – is 90 days enough?

Wed, 13/11/2013 - 17:44

Steven Ferrigno (pictured), Managing Director EMEA for Allegro Development Corporation, comments on Monday’s announcement from the European Securities and Markets Authority (ESMA) regarding the reporting deadline for EMIR, the European Market Infrastructure Regulation regime… »

Fiona Le Poidevin, Guernsey Finance

Meeting GP & LP demands

Wed, 13/11/2013 - 12:00

Evidence shows that Guernsey continues to meet the demands of both private equity managers and their investor base, writes Guernsey Finance chief executive Fiona Le Poidevin (pictured)… »

Computer screen

FactRight launches alternative investment product and sponsor due diligence report centre

Tue, 12/11/2013 - 15:06

FactRight has launched a secure online report centre to better serve the alternative investment due diligence community. »

Bermuda

Conyers advises on first Class A Exempt Fund registered under Bermuda’s new funds regime

Tue, 12/11/2013 - 13:11

Conyers Dill & Pearman has advised the first Class A Exempt Fund to be registered in Bermuda under the new funds regime. »

Approved stamp

ESMA approves DTCC trade repository in Europe

Mon, 11/11/2013 - 06:08

The European Securities and Markets Authority (ESMA) has approved DTCC’s Derivatives Repository Limited (DDRL) to operate a multi-asset class derivatives repository in Europe. »

Clock

Countdown to EMIR reporting begins



Fri, 08/11/2013 - 16:03

The first trade repositories need to begin European Market and Infrastructure Regulation (EMIR) reporting for all derivative counterparties in February 2014, according to the European Securities and Markets Authorities (ESMA).

 »

Fiona Le Poidevin, chief executive of Guernsey Finance

Guernsey event shows practical aspects of AIFMD implementation

Fri, 08/11/2013 - 14:00

Nearly 200 fund managers and advisers attended a Guernsey event in London this week to hear the practical aspects of implementing the Alternative Investment Fund Managers Directive (AIFMD). »

London

Sullivan & Worcester expands trade finance practice

Fri, 08/11/2013 - 12:35

Simon Cook has re-joined Geoff Wynne, head of Sullivan & Worcester’s new London office, as a partner in the London-based team of seven lawyers focusing on emerging markets structured trade and commodities finance. »

Barred sign

CFTC obtains restraining order against AlphaMetrix

Thu, 07/11/2013 - 16:01

The US Commodity Futures Trading Commission (CFTC) has filed a complaint against AlphaMetrix, a Chicago-based commodity pool operator and commodity trading advisor.  »

Warehouse

LME approves changes to warehousing policy

Thu, 07/11/2013 - 15:06

The board of the London Metal Exchange (LME) has approved the proposed changes to its warehousing policy designed to cut queues at warehouses, following a three-month consultation with the global metals industry. »

Gavel and scales

CFTC charges Donald R Wilson and DRW Investments with price manipulation

Thu, 07/11/2013 - 10:06

The US Commodity Futures Trading Commission (CFTC) has filed a civil enforcement action in the US District Court for the Southern District of New York against Donald R Wilson and his company, DRW Investments.  »

Fiona Le Poidevin, Guernsey Finance

ILS emerges as an alternative asset class

Wed, 06/11/2013 - 11:46

Fiona Le Poidevin (pictured), chief executive of Guernsey Finance, explores how Guernsey’s investment and insurance expertise mean it is capitalising on the opportunities presented by the growth of Insurance Linked Securities (ILS). »

features
Article
Survey

In an excerpt from the Preqin Investor Outlook: Alternative Assets H1 2015, exclusive Preqin survey results reveal that while industry performance has been poor, investors remain committed to the asset class. ... »

Article

Fund managers and investors are in a tug-of-war over the issue of transparency. Once content with a performance update, basic valuation and general market commentary, Limited Partners (LPs) are now digging deeper, asking more questions and requiring more information from General Partners (GPs) than ever before. ... »

Article
Up arrow

In an excerpt from the Preqin Investor Outlook: Alternative Assets H1 2015, the spotlight is on investors’ attitudes towards alternative private real estate exposure.  ... »

Special report
Switzerland Hedge Fund Services 2015

Switzerland Hedge Fund Services 2015

Tue, 24/02/2015 - 19:14

New regulations are allowing hedge fund managers and institutional investors to take advantage of fresh opportunities in the Swiss market, from innovative new fund platforms to new fund strategies and structures that provide significant portfolio diversification opportunities... »

Special report
How to Access Europe using third party AIFMs

Read how managers seeking to distribute in Europe can appoint a third party AIFM (or ManCo), and the fund distribution benefits this can bring, both for new fund launches and redomiciled funds... »

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