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Legal & Regulation

William Stern, Goodwin Procter

Questions remain over new Volcker rule

Thu, 12/12/2013 - 19:41

William Stern (pictured), New York based Partner in Goodwin Procter LLP’s Financial Institutions Group, comments on the publication of the new Volcker rule…   »


LME completes technical delivery for EMIR

Thu, 12/12/2013 - 11:41

The London Metal Exchange (LME) has delivered the systems modifications to support its members and clearing house in response to the European Market Infrastructure Regulation (EMIR) requirements. »


Regulators struggling to balance protection with growth

Thu, 12/12/2013 - 06:00

Nearly half of financial services professionals (49 per cent) globally do not believe that any regulator has managed to strike the right balance between protecting investors and underpinning growth, according to a survey by Kinetic Partners. »

Confused man

‘Patchwork quilt’ of AIFMD requirements will deter non-EU firms

Wed, 11/12/2013 - 06:03

The “patchwork quilt” of regulatory requirements resulting from European Union member states exercising discretion under the Alternative Investment Fund Managers Directive is likely to deter many non-EU firms from operating in the market – but that need not be the case, according to Sturgeon Ventures, the regulatory incubator. »


BNY Mellon launches AIFMD regulatory reporting service

Tue, 10/12/2013 - 12:09

BNY Mellon has launched a new service for fund managers that helps them identify, aggregate and manage the regulatory reporting requirements of the Alternative Investment Fund Manager’s Directive (AIFMD). »

Fiona Le Poidevin, chief executive of Guernsey Finance

Optionality and substance in a world with AIFMD

Mon, 09/12/2013 - 16:09

With Guernsey’s new opt-in AIFMD equivalent regime effective from 2 January 2014, Fiona Le Poidevin, chief executive of Guernsey Finance, explores how the island offers optionality and substance to fund managers. »

Douglas Shulman, Kinetic Partners

Methods for obtaining a successful US Securities and Exchange Commission (SEC) examination result

Mon, 09/12/2013 - 06:00

By Douglas Shulman, Director, Regulatory Compliance team, Kinetic Partners US LLP – Each General Counsel (GC) and Chief Compliance Officer (CCO) faces the innate pressure of preparing for an SEC exam and, ultimately, leading their firm to a successful result.  The best method(s) for preparation are consistently discussed, and often debated, at roundtables and seminars.  »

Philippe Matélic, Director, Regulatory Compliance Team, Kinetic Partners (Luxembourg) Management Company

Options for distributing funds into Europe under AIFMD

Fri, 06/12/2013 - 12:51

By Philippe Matélic, Director, Regulatory Compliance Team, Kinetic Partners (Luxembourg) Management Company – How to connect your ideas to the market: The fund industry is constantly generating new ideas.  But, as in other industries, each needs to move through from creation, to production and then distribution.  For the fund management industry, this focus on distribution is equally key.  »

Fiona Le Poidevin, chief executive of Guernsey Finance

Guernsey reveals opt-in AIFMD equivalent regime

Thu, 05/12/2013 - 16:07

The Guernsey Financial Services Commission (GFSC) has released a new set of rules which form an opt-in regulatory regime of measures equivalent to the Alternative Investment Fund Managers Directive (AIFMD). »

Don Steinbrugge, Agecroft Partners

City of Detroit pension benefits ruling to impact HFs

Wed, 04/12/2013 - 19:21

By Don Steinbrugge, Agecroft Partners – Judge Steven W Rhodes’ ruling that the City of Detroit is officially bankrupt and that pension benefits for public pension fund beneficiaries may be reduced will have major repercussions throughout the public pension fund industry.  »


Indus Valley Partners launches 40 Act fund reporting functionality for hedge funds

Wed, 04/12/2013 - 12:33

Indus Valley Partners (IVP), a provider of technology solutions to alternative asset managers, has added a standard 40 Act rules library within the IVP Polaris data warehouse. »

Magnifying glass

Citicom Solutions partners with Doran Jones to distribute flagship compliance solution

Tue, 03/12/2013 - 14:09

Citicom Solutions has partnered with Doran Jones, a full-service financial services consultancy, to sell Citicom Assure, a product designed to provide proactive, real-time analysis of data, including instant messages (IMs), emails, text messages and mobile- and fixed-voice recordings. »


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). »


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)… »


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 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. »


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. »


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). »


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. »


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. »


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. »


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). »

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