Grayscale Investments, a digital currency asset manager and the manager of Grayscale Digital Large Cap Fund (OTCQX: GDLC) (the Fund), has announced that the Registration Statement on Form 10 that it filed with the Securities and Exchange Commission (SEC) on
Waystone, a provider of institutional governance, risk and compliance services to the asset management industry, has secured a significant investment from Montagu Private Equity. The investment represents a significant opportunity for Waystone to build upon its current expansion plans and
The Securities and Exchange Commission has announced fraud charges against Sean Wygovsky, a trader at a major Canada-based asset management firm, in connection with a long-running and lucrative front-running scheme that he perpetrated in the accounts of his close family
Broadridge Financial Solutions has integrated global RegTech provider FundApps’ regulatory compliance technology with its buy-side portfolio and order management solution. Broadridge’s clients will benefit from a unique regulatory compliance solution that addresses managers’ needs across shareholder disclosures, sensitive industry monitoring
SteelEye, a compliance technology and data analytics firm, says it has completely revolutionised market abuse and communications monitoring with its innovative new lexicon technology. Read the full story at Institutional Asset Manager…
Data from a Freedom of Information Request to the FCA has revealed that firms are either transaction reporting incorrectly or not adhering to the MiFIR requirement to monitor their reporting using submission data made available to them by the FCA.
The decision to amend the rules surrounding Guernsey’s Private Investment Fund (PIF) options is aimed at enabling more investors to take advantage of the structure, increasing the attractiveness of Guernsey as a jurisdiction of choice. Read the full story at
Apex Group (Apex), a global financial services provider, has launched a new Compliance Solutions service which will be run by Mel Scotland.
Phoenix American, a full-service fund administration provider for alternative investment funds, has published a new white paper examining the long anticipated emergence of the Regulation A+ fund structure after nine years of development following its creation in the 2012 JOBS
The Securities and Exchange Commission announced has obtained court approval of settlements with Telegram Group Inc and its wholly owned subsidiary TON Issuer In to resolve charges that Telegram’s unregistered offering of digital tokens called “Grams” violated the federal securities laws. The
