Broadridge Financial Solutions has launched a change management service to help companies design their target operating models to be compliant with the upcoming Securities Financing Transactions Regulation (SFTR). The new service provides a practical blueprint for front-to-back changes to overall
The US Commodity Futures Trading Commission (CFTC) and the UK’s Financial Conduct Authority (FCA) are to collaborate and support innovative firms through each other’s financial technology (FinTech) initiatives – LabCFTC and FCA Innovate. “The FCA’s Project Innovate is the gold
Investment funds can now take advantage of a new limited partnership regime following the passing of the Limited Partnership Act in the British Virgin Islands (BVI). The Act is designed to provide all the typical benefits of limiting liability, as
A growing number of Jersey-registered fund managers are opting to future-proof their strategies and market into Europe through national private placement regimes (NPPRs) under the Alternative Investment Fund Managers Directive (AIFMD), according to the latest figures from Jersey’s regulator, the
Intelliflo has collaborated with Brookland Computer Services, a specialist technology solutions and advisory firm with 20 years’ experience working for regulated clients in the financial services and legal markets, to produce a comprehensive GDPR toolkit ahead of the new regulation
A survey conducted on preparation for the FCA’s Senior Managers and Certification Regime, (SM&CR) has revealed that most firms have significant work to do, as they prepare for its extension to all authorised firms on 9 December. From a pool of over
Futures commission merchant AMP Global Clearing (AMP) is to pay USD100,000 to settle CFTC charges that it failed to supervise the cybersecurity of customer records and information. The charges relate to the period between 21 June, 2016 and 17 April, 2017
There has been a 65 per cent jump in the number of firms referred to the Regulatory Decisions Committee, suggesting an acceleration in FCA investigations, according to Cleveland & Co, the boutique legal advisory business. Information provided to Cleveland &
The Commodity Futures Trading Commission (CFTC) has issued an order filing and settling charges against Deutsche Bank Securities (DBSI) for attempted manipulation of the ISDAFIX benchmark and requiring DBSI to pay a USD70 million civil monetary penalty. The CFTC Order
Charles River clients subject to the European Union’s Markets in Financial Instruments Directive II (MiFID II) are now able to comply using the Charles River Investment Management Solution (Charles River IMS). Charles River has worked with clients across Europe, North
