The DE Shaw group, a global investment and technology development firm, has been granted a license to develop and market onshore investment products to investors in China. The Private Securities Investment Fund Manager (PFM) license is issued by the Asset
Cappitech, a provider of regulatory reporting and intelligence solutions for the financial services industry, has launched RTS 28 Market Intelligence, a product that allows financial institutions to use regulatory compliance data to their own advantage. The electronic surveillance and
The Alternative Investment Management Association (AIMA) has published a GDPR Implementation Guide to help members understand and comply with new EU-wide rules that come into effect on 25 May. The General Data Protection Regulation (GDPR), which replaces the EU Data
Research by global financial services regulatory consultancy Bovill finds that despite the FCA pursuing 19 investigations under the Senior Managers and Certification Regime (SMCR), to date there has been only one successful enforcement action. The findings come two and
The Commodity Futures Trading Commission’s (CFTC) Divisions of Swap Dealer and Intermediary Oversight (DSIO), Market Oversight (DMO), and Clearing and Risk (DCR), is to grant no-action relief to provide greater certainty to the global marketplace in connection with the anticipated
Thomson Reuters has successfully gone live with its key MiFID II services, helping the financial services industry meet the new regulatory requirements. The new services are part of Thomson Reuters’ commitment to providing a comprehensive suite of solutions to assist
ResearchPool, the leading global digital platform for investment research, has signed a new partnership with Invest Securities to offer investment companies a MiFID II-compliant solution to access reports and analysts. Invest Securities will also exclusively distribute its research on ResearchPool.com
By Olivia Munro – As the deadline to the GDPR steadily approaches, it is important to start preparing for the regulation if you haven’t already. In case you aren’t aware, the EU took a major step to protect their
The US Commodity Futures Trading Commission has issued an order filing and settling charges against Curtis Dalton of Middleton, Massachusetts, requiring him to pay USD200,000 for offering illegal off-exchange retail commodity transactions to US and overseas customers while failing to
By Nick Bayley (pictured), Duff & Phelps – It’s 3 January 2018. Hallelujah! Christmas has been and gone. The festive cheer over for another year. But there’s one more gift welcoming everyone as they head back to their offices: MiFID
