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Alan Halfenger, Optima

Former Bain Capital chief compliance officer joins Optima Partners

Wed, 06/06/2018 - 10:09

Regulatory compliance firm Optima Partners has appointed former Bain Capital chief compliance office Alan K Halfenger as a Partner at the firm. »

David Calligan, Reed Smith

European regulator intervenes to restrict marketing of CFDs

Fri, 18/05/2018 - 12:01

David Calligan, Partner, Reed Smith, writes on the European Securities and Markets Authority (ESMA)’s announcement that it intends to impose temporary measures to restrict the sale of Contracts for Differences (CFDs) to retail investors, after a consultation earlier this year. The temporary restrictions are likely to come into effect in July.  »

Brian Privor, Gemini

Gemini adds SEC veteran to leadership team

Tue, 15/05/2018 - 10:41

The Gemini Companies (Gemini) has appointed Brian Privor as Chief Regulatory Officer. In this new role, Privor will help ensure that both Gemini and its fund clients’ operations are optimally equipped to comply with rules set by the US Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), National Futures Association (NFA), and other industry regulators.   »

Matt Smith, SteelEye

SteelEye and MAP FinTech to collaborate on research and development for regulatory reporting

Thu, 03/05/2018 - 10:10

SteelEye, a compliance technology and data analytics firm, and MAP Financial Technologies Limited, (MAP FinTech), a specialist in regulatory reporting solutions, have formed a research and development partnership.  »

Michael Corcione, Cordium

Most financial services firms not prepared for GDPR, says survey

Fri, 27/04/2018 - 09:01

With only 30 days until implementation, more than 50 per cent of investment firms globally are unlikely to be ready for the European Union’s new General Data Protection Regulation (GDPR) on 25 May 2018. »

Matt Smith, SteelEye

SteelEye launches best execution support for RTS 27 & 28

Thu, 26/04/2018 - 09:46

SteelEye, a compliance technology and data analytics firm, is pleased to announce its best execution support for MiFID II’s regulatory standards RTS27 & RTS 28. »

Picture of bitcoins

Bovill launches global cryptocurrency-blockchain offering

Tue, 24/04/2018 - 10:33

Financial services regulatory consulting firm Bovill has launched a global cryptocurrency-blockchain offering. »

A&O, IHS Markit and SmartDX launch tech solution for regulatory challenge in derivatives market

Fri, 20/04/2018 - 09:16

Three companies – international legal practice Allen & Overy, business information provider IHS Markit and SmartDX – have come together to launch Margin Xchange, a new product for the derivatives market. »

Ian Mutche, Oyster Consulting

Outsourcing eases the pressure of regulatory compliance

Wed, 18/04/2018 - 12:54

That Bermuda continues to strengthen its regulatory regime is very much a selling point for those thinking of doing business on the island. This year, the Caribbean Financial Action Task Force (CFATF) is assessing Bermuda, with a possible onsite in September. This follows its assessment of the Cayman Islands in December 2017. »

Scott Watson-Brown, PwC

Transparency is clear to see

Wed, 18/04/2018 - 12:26

Tax transparency has been an evolving focal point for the world’s economies as governments look to satisfy rigorous global compliance standards and shore up their tax revenues. Western media have focused on international financial centres following recent years’ cyber breaches that led to sensationalistic reporting about offshore investments, stoking a public appetite for revelations on high-net-worth financial matters, including taxes. »


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