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Legal & Regulation

Risk

Hedge funds pose no systemic risk to financial system, says ASIC report

Tue, 10/09/2013 - 14:05

Australian hedge funds do not currently pose a systemic risk to the Australian financial system, according to the finding of an ASIC report. »

Risk

CFTC publishes Concept Release on risk controls for automated trading environments

Mon, 09/09/2013 - 18:08

The CFTC has approved for publication in the Federal Register a Concept Release on Risk Controls and System Safeguards for Automated Trading Environments. »

Email sign

Murano helps funds and investors comply with AIFMD reverse solicitation process

Mon, 09/09/2013 - 10:04

Murano’s Chromic Reverse Solicitation Process (Chromic RSP) enables investors and fund managers to comply with the AIFMD reverse solicitation conditions. »

Kathleen Casey, chair, AIMA

AIMA publishes enhanced statement of principles

Thu, 05/09/2013 - 14:24

The Alternative Investment Management Association (AIMA), the global hedge fund industry association, has published an enhanced statement of policy principles. »

Regulation

ESMA advises Commission on equivalence of non-European derivatives rules

Wed, 04/09/2013 - 14:15

The European Securities and Market Authority (ESMA) has published its advice to the European Commission on the equivalence of the regulatory regimes for OTC derivatives clearing, central counterparties (CCPs), and trade repositories (TR) of non-EU countries with the European Markets Infrastructure Regulation (EMIR). »

Approved stamp

Seven Capital Management granted AIFM approval

Tue, 03/09/2013 - 06:02

Seven Capital Management has become one of the first French asset management companies to be granted AIFM approval by the AMF board. »

Gavel and scales

Philip Falcone and Harbinger Capital agree SEC settlement

Mon, 19/08/2013 - 23:17

New York-based hedge fund adviser Philip A Falcone and his advisory firm Harbinger Capital Partners have agreed to pay more thean USD18 million and admit worngdoing to settle chrages brought by the US Securities and Exchange Commission.   »

Doug Shulman, Kinetic Partners

The successful evolution of the SEC

Sun, 18/08/2013 - 11:04

By Douglas Shulman, Director, Regulatory Compliance, Kinetic Partners – The Madoff fraud was a turning point for the regulatory environment and the US Securities and Exchange Commission (the “SEC” or the “Commission”).  »

Cayman Islands

Cayman and US conclude FATCA negotiations

Thu, 15/08/2013 - 06:42

The Cayman Islands Government (CIG) has concluded negotiations with the US on a Model 1 intergovernmental agreement (IGA) and a new tax information exchange agreement (TIEA).  »

Australia

ASIC makes rules on dark liquidity and high-frequency trading

Mon, 12/08/2013 - 11:03

The Australian Securities and Investments Commission (ASIC) has released its market integrity rules on dark liquidity and high-frequency trading. »

Andrew Shrimpton, global head of regulatory compliance at Kinetic Partners

Kinetic Partners helps Piquant Technologies become first UK hedge fund authorised according to AIFMD

Fri, 09/08/2013 - 12:00

Kinetic Partners, the professional services firm, has supported Piquant Technologies, a new UK-based quantitative fund manager, to become the first hedge fund authorised according to the Alternative Investment Fund Management Directive (AIFMD). »

Michael Sanders, chairman of the board at Alceda Fund Management SA

Alceda applies for AIFM licence in Germany and Luxembourg

Thu, 08/08/2013 - 13:30

Alceda has applied for a licence as an Alternative Investment Fund Manager (AIFM) with Alceda Asset Management GmbH in Germany and Alceda Fund Management SA in Luxembourg. »

Michelle Carroll, BDO

IMA proposals for fund charges will increase transparency and costs

Sun, 04/08/2013 - 07:49

Michelle Carroll (pictured), Partner of the Financial Services Group at BDO, comments on the IMA issuing a public consultation on fund charges… »

Holly Singer, HS Marketing

The new rules of marketing: Guidelines for managers

Sun, 04/08/2013 - 07:31

The SEC ruling of 10 July 10 2013 lifting the ban on general solicitation and advertising of private placements ushered in a new era of communication opportunities and challenges for hedge fund managers. »

Gary Brackenridge, global head of the hedge funds business line at Linedata

Linedata launches compliance managed service

Tue, 30/07/2013 - 10:05

Linedata has launched the Linedata Compliance Managed Service to address the complexity of global hedge fund regulations by incorporating rule monitoring across different geographies and jurisdictions. »

Jad Comair, founder and chief investment officer, Melanion Capital

Melanion Capital formally recognised as an innovative startup (JEI) by French Ministry of R&D

Mon, 29/07/2013 - 13:37

Just weeks after being given the green light by French markets regulator AMF (Autorité des Marchés Financiers) to become the first alternative manager to specialise in investment in dividend futures, Melanion Capital has received an additional accolade from the French authorities. »

Luxembourg

First dematerialised bond under Luxembourg law issued through LuxCSD

Mon, 29/07/2013 - 13:29

LuxCSD has issued and settled the first dematerialised security following implementation of the new law in Luxembourg in April 2013. »

Survey

AIMA/EY survey finds mixed progress towards AIFMD implementation

Wed, 24/07/2013 - 16:10

Uneven progress is being made in implementing the Alternative Investment Fund Managers Directive (AIFMD) across the European Union, according to a joint study by hedge fund industry association the Alternative Investment Management Association (AIMA) and EY, the multinational professional services firm. »

Gavel and scales

FCA fines US-based oil trader USD903,000 for market manipulation

Wed, 24/07/2013 - 06:40

The Financial Conduct Authority (FCA) has fined US-based high frequency trader Michael Coscia USD903,176 (GBP597,993) for deliberate manipulation of commodities markets. »

European flags

Citi's securities and fund depositary services now AIFMD-ready in key European domiciles

Tue, 23/07/2013 - 12:40

The Alternative Investment Fund Management Directive (AIFMD) rules affect fund remuneration practices, marketing guidelines, documentation and reporting, and the requirement for alternative investment fund managers to appoint a depositary. »

Survey

AIFMD will reduce choice and increase costs for managers and investors, says survey

Tue, 23/07/2013 - 06:03

Research by BNY Mellon points to significant uncertainty about the requirements of the Alternative Investment Fund Managers Directive (AIFMD), despite Monday's first deadline for authorisation. »

Green traffic light

BNP Paribas ready to help clients transition to AIFMD compliance 



Mon, 22/07/2013 - 16:02

BNP Paribas is now ready for the transition of its asset manager and asset owner clients to meet the requirements of the Alternative Investment Fund Management Directive (AIFMD), which came into effect on 22 July. »

Fiona Le Poidevin, Guernsey Finance

Guernsey now accepting AIFMD applications

Mon, 22/07/2013 - 13:47

Guernsey is now accepting applications under new domestic AIFMD marketing rules and therefore it is a case of ‘business as usual’ for Guernsey’s investment fund community, writes Fiona Le Poidevin (pictured), Chief Executive of Guernsey Finance – the promotional agency for the Island’s finance industry. »

George Anson, chairman, EVCA

AIFMD must be implemented proportionately and consistently

Mon, 22/07/2013 - 11:44

The EVCA comments on the Alternative Investment Fund Managers Directive (AIFMD) entering into force across the European Union… »

Gavel and scales

SEC charges Steven A Cohen with failing to supervise portfolio managers and prevent insider trading

Mon, 22/07/2013 - 06:00

The Securities and Exchange Commission has announced charges against hedge fund adviser Steven A Cohen for failing to supervise two senior employees and prevent them from insider trading under his watch. »

Glynn Barwick, Goodwin Procter

AIFMD spells uncertainty

Sun, 21/07/2013 - 20:43

It could be some time yet before the AIFMD brings standard regulatory requirements across the EU, says Glynn Barwick (pictured), regulatory lawyer at Goodwin Procter LLP… »

Document signing

ESMA finalises supervisory co-operation agreements for alternative investment funds

Fri, 19/07/2013 - 12:14

The European Securities and Markets Authority (ESMA) has approved seven co-operation arrangements between EU securities regulators and their global counterparts with responsibility for the supervision of alternative investment funds, including hedge funds, private equity and real estate funds. »

Steven Maijoor, ESMA chair

ESMA consults on non-EU counterparties OTC derivatives

Thu, 18/07/2013 - 10:22

The European Securities and Markets Authority (ESMA) has launched a consultation on draft regulatory technical standards (RTS) aimed at implementing the provisions of the European Markets Infrastructure Regulation (EMIR) related to OTC derivative transactions by non-European Union (EU) counterparties and aimed at preventing attempts by non-EU counterparties to evade EMIR’s provisions. »

Geoff Cook, chief executive, Jersey Finance

Further regulatory steps taken to meet AIFMD requirements welcomed by Jersey Finance

Tue, 16/07/2013 - 06:00

Jersey Finance has welcomed the announcement from the Jersey Financial Services Commission (JFSC) that 25 bilateral agreements have been signed in respect of the Alternative Investment Fund Managers Directive (AIFMD), another key step in meeting the requirements of the Directive. »

Document signing

Cayman Islands signs MOUs with 25 ESMA members

Mon, 15/07/2013 - 06:20

The Cayman Islands has now signed memoranda of understanding (MOUs) with 25 European countries, which will enable the continued marketing of Cayman Islands hedge funds throughout the European Union. »

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