The CFTC has ordered JPMorgan to pay a record USD920.2 million, the largest amount of monetary relief ever imposed by the CFTC, to settle charges of manipulative and deceptive conduct and spoofing.Read the full story at Institutional Asset Manager…
New US Commodity Futures Trading Commission Chairman Heath P Tarbert has made appointments to key positions in his Office. Jaime L Klima will serve as Chief of Staff and Chief Operating Officer, N Charles “Charlie” Thornton III will serve as
High set up costs could stymie the fortunes of emerging and start up managers before they even make their first step. Malta offers such organisations the opportunity to set up their business in a low-cost jurisdiction while taking advantage of
The European Energy Exchange (EEX) and EQS Group are partnering to support future participants in the CO2 market with their reporting obligations pursuant to the EU Market Abuse Regulation (MAR). As of 3 January, 2018, the provisions of the Market
TORA, a provider of a cloud-based order and execution management system (OEMS), has launched an artificial intelligence (AI)-driven pre-trade transaction cost analysis (TCA) solution designed to help firms meet the stricter best execution requirements imposed by MiFID II. TORA’s new
The Securities and Exchange Commission (SEC) has announced its 100th whistleblower award since the creation of the SEC Whistleblower Program as part of the Dodd Frank Act in 2010. “The first 100 Dodd-Frank Act whistleblowers proved that whistleblowing works,” says leading
KOGER, provider of the NTAS platform for fund administration and compliance, is now offering Chinese-language capability for investor statements. More than 8,000 funds with USD2 trillion in assets are administered through NTAS, used by many of the largest asset managers,
The Alternative Investment Management Association (AIMA) and Alternative Credit Council (ACC) have welcomed the publication by the European Commission (EC) of the Capital Markets Union for people and businesses-new action plan (the CMU Action Plan). AIMA and ACC say their
Compliance and registration solutions provider RIA in a Box has launched a new platform to address the unique regulatory requirements faced by private fund advisers including venture capital, private equity, and hedge fund managers. Read the full story at Private
Cappitech Regulation, a RegTech firm specialising in automating regulatory transaction reporting for investment firms, has concluded the integration of its Capptivate platform with AccessFintech’s ecosystem. AccessFintech users can now incorporate Capptivate’s MiFID II and EMIR reporting, tracing regulatory reporting exceptions
