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Mike Byrne, Jersey FSA

Jersey sees uptick in number of fund managers choosing the island’s private placement regime

Thu, 15/02/2018 - 18:11

A growing number of Jersey-registered fund managers are opting to future-proof their strategies and market into Europe through national private placement regimes (NPPRs) under the Alternative Investment Fund Managers Directive (AIFMD), according to the latest figures from Jersey’s regulator, the Jersey Financial Services Commission (JFSC). »

Rob Walton, Intelliflo

Intelliflo and Brookland Computer Services launch GDPR toolkit and readiness assessment

Thu, 15/02/2018 - 09:39

Intelliflo has collaborated with Brookland Computer Services, a specialist technology solutions and advisory firm with 20 years’ experience working for regulated clients in the financial services and legal markets, to produce a comprehensive GDPR toolkit ahead of the new regulation coming into force on 25 May 2018. »

Picture of a court gavel

AMP to pay USD100,000 to settle CFTC cybersecurity charges

Wed, 14/02/2018 - 09:13

Futures commission merchant AMP Global Clearing (AMP) is to pay USD100,000 to settle CFTC charges that it failed to supervise the cybersecurity of customer records and information. »

Upwards trend

FCA referrals to Regulatory Decisions Committee jump by 65 per cent

Tue, 13/02/2018 - 09:13

There has been a 65 per cent jump in the number of firms referred to the Regulatory Decisions Committee, suggesting an acceleration in FCA investigations, according to Cleveland & Co, the boutique legal advisory business. »

Picture of a gavel

Deutsche Bank Securities to pay USD70m CFTC penalty for attempted manipulation of US dollar ISDAFIX benchmark swap rates

Fri, 02/02/2018 - 09:17

The Commodity Futures Trading Commission (CFTC) has issued an order filing and settling charges against Deutsche Bank Securities (DBSI) for attempted manipulation of the ISDAFIX benchmark and requiring DBSI to pay a USD70 million civil monetary penalty. »

Tom Driscoll, Charles River

Charles River IMS delivers MiFID II compliance

Tue, 30/01/2018 - 10:19

Charles River clients subject to the European Union’s Markets in Financial Instruments Directive II (MiFID II) are now able to comply using the Charles River Investment Management Solution (Charles River IMS). »

Picture of a gavel

CFTC files anti-spoofing enforcement actions against Deutsche Bank, HSBC & UBS

Tue, 30/01/2018 - 09:13

The Commodity Futures Trading Commission (CFTC), in conjunction with the Department of Justice and Federal Bureau of Investigation, has fled criminal and civil enforcement actions against three banks and six individuals involved in commodities fraud and spoofing schemes.  »

Robert Angel, Northern Trust

Northern Trust survey reveals investment managers’ greatest MiFID II implementation challenge

Mon, 29/01/2018 - 17:43

Close to 50 per cent of investment managers and consultants surveyed at Northern Trust’s (Nasdaq: NTRS) annual Regulatory and Depositary conference cited client reporting as the greatest implementation challenge presented by MiFID II. »

Marc Kish, Ogier

Third party litigation funding in the Cayman Islands: A shift in policy

Mon, 29/01/2018 - 13:04

By Marc Kish, Partner, Ogier – In a recent landmark decision of the Grand Court in A Company and A Funder, the Court has approved a third party litigation funding agreement and in doing so given a roadmap to funders as to what conditions it will apply in such cases. While previous decisions of the Grand Court have approved third party funding agreements in principle, the Court’s observations have until now been restricted to the use of funding for the benefit of impecunious liquidation estates. This was a case involving a large multinational seeking to take advantage of funding for other commercial reasons. »

Jude Scott, Cayman Finance

Fintech to be a focus of continued innovation

Mon, 29/01/2018 - 12:44

Q&A with Jude Scott, Chief Executive Officer (CEO) of Cayman Finance… »

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