With the US presidential election campaign rapidly gathering pace, the issue of political contributions – and the potential for conflicts of interest – has become a major issue on fund managers’ compliance radars.
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
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
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, 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 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
Growth equity private investment firm FTV Capital has made a significant investment in hedge fund fund administrator and regulatory services provider Centaur Fund Services.
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’
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. The partnership will focus on the two firms’ complementary areas of regulatory
Glue42, a company that delivers simplified desktop experiences to financial institutions globally, has partnered with RocketFin Consulting to extend its capabilities from classic interop into the world of business analytics, insight and process optimisation. The partnership will enable financial institutions
