KYC Global Technologies is partnering with Dow Jones Risk & Compliance, strengthening the positioning of the Jersey-based company’s RiskScreen product range. The partnership enhances the ability of RiskScreen users to identify customers and companies with characteristics that indicate heightened financial
Joseph Dufresne (a/k/a Joseph James) and Megan Renkow (a/k/a Megan James), and their companies, United Business Servicing, LLC and United Business Servicing, Inc. (collectively United Business) are to pay USD4.9 million to settle CFTC charges regarding a the fraudulent sale
DMS Governance (DMS) has launched its US Regulatory Compliance services, designed to support US-based investment advisers in improving the quality and increasing the ease of compliance with their regulatory responsibilities. The DMS’ US Regulatory Compliance services offers expert compliance
FIX Trading Community has released its Recommended Practices for Commission Unbundling as required by MiFID II. MiFID II has introduced the requirement to explicitly separate commissions into their component parts (eg execution, research) with a focus on the specific identification
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. The
Key findings from Swiss exchange SIX’s survey of Traders include the fact that 88 per cent of traders have seen a shift from active towards passive investing and 72 per cent expect the level of passive investing to rise further
SmartStream Technologies has launched a new derivatives component for its Systematic Internaliser (SI) Registry service, to help clients meet the 15 September MiFID II deadline.
SteelEye, a compliance technology and data analytics firm, has appointed Rob Friend as Chief Operating Officer, effective immediately.Friend’s 24 years of international financial services experience will be instrumental in scaling SteelEye’s business operations as it prepares to support increasing global
Proper fund governance has long been championed by leading offshore law firm Conyers Dill & Pearman, which for the last decade has encouraged its hedge fund clients to hold at least annual directors meetings. Initially this was met with some
Arendt Regulatory & Consulting has selected Confluence’s Unity NXT Regulatory Reporting AIFMD Transparency Reporting to support their clients with AIFMD reporting challenges. Unity NXT Regulatory Reporting AIFMD Transparency Reporting is a software service that simplifies and streamlines the AIFMD regulatory
