The Commodity Futures Trading Commission has issued an order to Bursa Malaysia Derivatives permitting designated Bursa Malaysia members to solicit and accept orders and customer funds directly from US customers for trading on that exchange without having to register with
Sapient Global Markets has been certified under the Eris Certified Implementation Partner Programme. With firms looking for new ways to bring OTC products to market in response to regulatory mandates including Dodd-Frank, Sapient Global Markets will use its derivative industry
The Australian Securities & Investments Commission has started daily reporting of aggregated short positions, which will be published on the ASIC website. Short sellers have been required to report short positions to ASIC following the introduction by the Federal Government
How are hedge funds changing their research methods in the wake of MiFID II? Joe McGrath investigates… The introduction of the second Markets in Financial Instruments Directive (MiFID II) in January 2018 heralded fundamental changes in the market, specifically when
The International Organization of Securities Commissions has published its revised Objectives and Principles of Securities Regulation to incorporate eight new principles, based on the lessons learned from the recent financial crisis and subsequent changes in the regulatory environment. The eight
Northern Trust says that if investment managers are to navigate the intricacies of pending new European regulations they cannot look at each regulation in isolation. This, according to Northern Trust’s latest white paper Funds regulation: A brighter distribution future? is
Guernsey funds lawyer Advocate William Simpson believes regulatory developments will provide a strong competitive base for Guernsey’s financial services industry.
The US Commodity Futures Trading Commission (CFTC) has obtained a USD1.4 million civil monetary penalty against David A Owen of Destin, Florida, in a commodity fraud action. The consent federal court order entered by US District Court Judge M. Casey
AIMA has issued a warning to hedge fund managers not to drag their feet on implementing the Markets in Financial Instruments Directive (MiFID).
Citi’s investor services business is launching a range of services to help fund clients comply with new money market rules put forth by the Securities and Exchange Commission. The new offerings help funds with the implementation and monitoring of liquidity,
