The Commodity Futures Trading Commission (CFTC) has made an award of approximately USD2.5 million to an individual whistleblower.
Legal & Regulation
The Securities and Exchange Commission has taken another significant step toward establishing the regulatory regime for security-based swap dealers today by adopting a package of rules and rule amendments under Title VII of the Dodd-Frank Act.
Broadridge Financial Solutions has launched a change management service to help companies design their target operating models to be compliant with the upcoming Securities Financing Transactions Regulation (SFTR).
How are hedge funds changing their research methods in the wake of MiFID II? Joe McGrath investigates…
Two-thirds of alternative investment fund managers predict a rise in regulatory arbitrage between EU member states
Over two-thirds (67 per cent) of alternative investment fund managers believe the prospect of regulatory arbitrage between European Union member states seeking to attract business is likely to grow over the next two years, according to a new study.
Financial advisors and investors are set to benefit from new Category Definitions for Alternative Funds implemented by the Canadian Investment Funds Standards Committee (CIFSC).
The Commodity Futures Trading Commission (CFTC) has filed a civil enforcement action (Complaint) against the principals of Berkley Capital Management, a binary options trading firm with offices in the US and the Netherlands and two pools that operated as Delaware limited partnerships – BBOT 1 and Berkley II.
Shaun Robert (pictured) of PraxisIFM outlines why Guernsey is a serious contender as a domicile of choice…
Guernsey’s long-established constitutional position and expertise in funds makes the island ideally suited to support global investment funds post-Brexit, according to members of the Guernsey Investment Fund Association.
In light of global initiatives such as the Paris Accord, one area the bailiwick of Guernsey has focused on, with respect to product innovation, is green investing in the financial services industry. It has developed policies in response to expected demand for green investment products over the next two or three decades; ie verifiable, certifiable green products.