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UCITS

Not that long ago one would not have expected to see ‘Hedge fund managers’ and ‘UCITS’ appearing in the same sentence. However things have been changing, no doubt in part […] [...]

Compliance Seminars

The UCITS presentation referred to above was one of a series of seminars being held at our 4 Cavendish Square address. Future topics include US Regulatory Development; Financial Crime; and […] [...]

Market abuse

As we all know, the FSA been stepping up the pressure on market abuse as part of its ‘credible deterrence’ strategy and will happily take enforcement action against firms and […] [...]

FSA Asset Management Conference

Unlike past years when different topics relating to asset management were discussed, this year’s conference was devoted to the proposed EU Directive on hedge funds. As a result the five […] [...]

Following on from the previous (FSA Asset Management Conference) article, it was noted there was no German representation at the FSA Asset Management Conference (Germany and France have been seen […] [...]

SEC & FSA

From the article on the Asset Management Conference it will be seen that one way non EU domiciled funds could be marketed under any AIFM Directive would be where the […] [...]

Financial Crime

The latest edition of the FSA’s Financial Crime Newsletter is published reminding us about what could be ominous news for those that can read between the lines. You will be […] [...]

IMF and Jersey

The IMF has rated standards of regulation and supervision in Jersey above UK. The IMF’s Financial System Stability Assessment update places Jersey in the ‘top division’ of international financial centres […] [...]

Insider dealing

A finance director and two lawyers are the latest to be pursued for insider dealing (in respect of Neutec Pharma). All three have been committed to stand trial at Southwark […] [...]

AML & JMLSG

Following the overhaul of Part I of the guidance the Joint Money Laundering Steering Group (JMLSG) have released a revised Part II, which is the section that offers firm specific […] [...]

Approved persons

As you’ll know, one of the outputs of PS09/14 was that the scope and application of CF1 (director function) and CF2 (non-executive director function) was extended to capture individuals such […] [...]

TRUP

The abbreviation is for the Transaction Reporting Users Pack. The FSA have just issued an update which may be useful in addressing the odd query or two. Also below is […] [...]

Category: Latest News

UCITS

Compliance Seminars

Market abuse

FSA Asset Management Conference

Hedge Funds & the Germans

SEC & FSA

Financial Crime

IMF and Jersey

Insider dealing

AML & JMLSG

Approved persons

TRUP

INSIGHTS & EXPERTISE

NEWS & EVENTS

Webinar: Consumer Duty Board Reports – Year Two

Online Training Course: Your MLRO Training Day

Webinar: Navigating the IFPR Impact: Good and Poor Practices Observed

In-Person Training Course: Your MLRO Training Day

In-Person Training Course: Your MLRO Training Day

Fireside Chat: Operational Resilience – Have You Prepared?

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