The emergence of complex rules and regulations such as AIFMD and FATCA means that any new manager with visions of running their own hedge fund business must think carefully about the best route to market. For managers who wish to market outside
By Nick Bayley (pictured), Duff & Phelps – As a former exchange regulator, I have more than a passing interest in the mechanisms for price formation and price discovery. So, it’s interesting to see the start of what I think will be a
The life of the Chief Compliance Officer is not getting any easier with respect to the many regulatory and compliance demands placed on today’s alternative fund management community. Dealing with diverse issues ranging from tax compliance (in the form of
A UK-based investment adviser and its Chief Investment Officer (CIO) have agreed to pay more than USD2.5 million to settle charges that they breached their fiduciary duties by operating two private funds in a manner inconsistent with their prior disclosures
The US CFTC has charged former CBOE member Alvin Guy Wilkinson and his limited partnerships Chicago Index Partners (CIP) and Wilkinson Financial Opportunity Fund (WFOF) with fraud and acting as unregistered Commodity Pool Operators. The CFTC Complaint also charges Wilkinson with providing false statements
The European Commission’s decision to adopt an implementing decision on equivalence of the legal and supervisory framework for US-designated contract markets and swap execution facilities (SEFs) is a welcome step forward according to the MFA. MFA President and CEO Richard
The Securities and Exchange Commission has obtained an emergency asset freeze to halt a fast-moving Initial Coin Offering (ICO) fraud that raised up to USD15 million from thousands of investors since August by falsely promising a 13-fold profit in less
The Alternative Investment Management Association (AIMA) and Bundesverband Alternative Investments (BAI) are to jointly engage with policymakers and regulators in the European Union and globally on issues of interest to their respective memberships. Included in the agreement is work relating
By Stuarts Walker Hersant Humphries – The Anti-Money Laundering Regulations, 2017 (the “Regulations”) were brought into force on 2 October 2017 and replaced the Money Laundering Regulations (2015 Revision) (the “Former Regulations”).
The Dutch Central Bank has announced that as of 31 March 2018, investment firms dealing on their own account are must meet the requirements of the EU Capital Requirements Regulation (CRR). Flow Traders is currently assessing the impact of these
