Digital Assets Report


Video surveillance

Holistic approach to trade surveillance and monitoring

A risk-based approach to governance and compliance can help financial services firms implement a holistic view of their processes and procedures while ensuring high levels of trade surveillance and monitoring. “We believe the goal is to get away from siloed

Optima Partners selects Drawbridge Partners Connect Platform

Drawbridge Partners, a premier cybersecurity software and services firm specialising in the needs of hedge fund and private equity managers has been selected by Optima Partners, a global financial regulatory compliance advisory firm, for the outsourcing of its due diligence


To outsource or not to outsource, that is the question

Chief Compliance Officers (CCOs) and compliance teams face mounting pressure as heightened levels of global regulation combine with increasing scrutiny and cost concerns. Over-burdened teams that are stretched too thinly are more likely to experience burnout and make mistakes, exposing

David Calligan, Reed Smith

European regulator intervenes to restrict marketing of CFDs

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.

Brian Privor, Gemini

Gemini adds SEC veteran to leadership team

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

Kempen launches renewable energy equities research team

Kempen & Co (Kempen) has launched a new range of research reports on companies and funds operating in the renewable energy sector.The research team comprises Kempen’s equity analysts Charles Maynadier, Juri Zanieri and Stuart Gillies; a team with many years’


10 October, 2024 – 5:00 pm

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