The US Securities and Exchange Commission has canceled its meeting to vote on proposed rule changes to its whistleblower program.
Legal & Regulation
The US Securities and Exchange Commission (SEC) is neeting on Wednesday 23 October to vote on proposed changes to the SEC's highly successful Dodd-Frank Act whistleblower reward program.
Q&A with Simon Gray, Head of Business Development & Marketing, BVI Finance
With so much bandwidth being absorbed by the gravitational pull of Brexit, hedge fund managers could be forgiven for paying short shrift to the Senior Managers and Certification Regime (SM&CR), which formally comes into effect on 9 December 2019.
The US Commodity Futures Trading Commission announced today that it issued orders filing and settling charges against two interdealer brokers – BGC Financial, LP and GFI Securities, LLC.
ACA Compliance Group (ACA), a provider of governance, risk, and compliance advisory services and technology solutions, has launched ComplianceAlpha 2.0.
Chicago trading firm and co-founder to pay USD2.5m in CFTC penalties for spoofing and manipulative trading scheme
The US Commodity Futures Trading Commission has filed and settled enforcement actions against Hard Eight Futures, and Igor Chernomzav for spoofing – bidding or offering with the intent to cancel the bid or offer before execution – and for engaging in a manipulative and deceptive trading scheme.
Broadridge Financial Solutions, is working with FundsLibrary, a provider of digital fund data and regulatory solutions, to develop a new offering for European wealth and asset managers to address the challenges posed by MiFID II Ex-Post Costs and Charges and Solvency II.
Apex Group (Apex) has received Full Depositary authorisation from the Central Bank of Ireland for its subsidiary the European Depositary Bank (EDB) to operate in Ireland.
PGIM has secured approval from the Dutch Authority for the Financial Markets to operate an Alternative Investment Fund Manager (AIFM) from its newly established office in the Netherlands.