The Australian Securities and Investments Commission has banned Jonathan Peter West of Athelstone, South Australia from providing financial services for six years.
The US Commodity Futures Trading Commission has made further amendments to the terms under which ICE Futures Europe is permitted to make its electronic trading and order matching system
Advanced Analytical Consulting Group has launched Scientific Fraud Detection, a product that aims to help funds monitor regulatory compliance and identify fraudulent behaviour.
KNEIP has been appointed by Vontobel Asset Management to carry out fund data management, regulatory filing, KIID production and dissemination and financial reporting. Vontobel Asset Management will be making use of KNEIP’s service across its entire Swiss- and Luxembourg-domiciled fund
The Securities and Exchange Commission has filed settled fraud charges against Alexander HG Mascioli and his alter-ego, purported hedge fund, North Street Capital (NSC). The charges allege that Mascioli and NSC made a fraudulent May 2012 offer to acquire all
Technology vendors in Europe are investing heavily in the development of portfolio management and accounting systems to help buy-side asset management clients navigate new regulatory requirements. That is according to a report from Aite Group – Leading Portfolio Systems, European
Indus Valley Partners (IVP) has launched IVP RAPTOR cloud, enabling alternative asset managers to meet their global regulatory reporting needs from a purpose-built cloud platform. IVP RAPTOR (Regulatory Analytics Portfolio Transparency Operational Reporting) includes coverage for all major regulatory filings
The Alternative Investment Management Association has warned that the European Commission’s draft directive on alternative investment fund managers could cost Europe’s pension fund indu
Traders at UBS tried to rig the Hong Kong Interbank Offered Rate (HIBOR), an investigation has found. The Hong Kong Monetary Authority (HKMA), which investigated nine banks designated as HIBOR reference banks, found evidence of misconduct in the submission of
The Managed Funds Association is joining major derivatives dealers and buy-side institutions in presenting a letter to global industry regulators that establishes new commitments to add
