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Compliance

"Smaller firms struggle with FATCA" says GoldenSource's Engdahl

As the deadline for the implementation of the FATCA regulation has passed, Steve Engdahl (pictured), senior vice president of product strategy at data management provider GoldenSource comments on the implications.

03 Jul 2014
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bankrupt

Credit Suisse, Deutsche Bank and UBS hit by Barclays dark pool lawsuit

New York's decision to sue Barclays over its alleged dark pool trading conduct has led to other major banks withdrawing from the anonymous trading venue and wiped billions off the value of bank equity.

27 Jun 2014
regulation-rockfall

Will the RDR hit Europe?

Advisory, research and events business The Platforum has released the results of its "European Platforms and Open Architecture" report.

16 Apr 2014
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Apsley and PartnerRe to launch specialist AIFMD compliant service

The insurance provider Apsley Speciality (Apsley) has joined forces with global reinsurer PartnerRe in order to launch a specialist underwriting service for the hedge fund sector dealing with AIFM requirements. The agreement between the two parties was signed in late 2013, PartnerRe will be capacity provider for the project.

24 Mar 2014
fca

State Street UK fined £22.9m for TM failings

State Street UK has been fined £22,885,000 by the Financial Conduct Authority (FCA) for Transitions Management failings.

31 Jan 2014
rdrguide

Superclean to become the new clean - Barclays research

The Barclays Equity Research team has analysed the changes taking place with part 1 of RDR turning one year old.

03 Dec 2013
regulation-rockfall

Appetite for investment advice remains strong in post RDR world - Natixis GAM

Survey finds twice the number of UK financial advisory businesses have increased client numbers than have seen them fall as a direct or indirect result of RDR

28 Oct 2013
rdr-blackboard

Investec Asset Management launches RDR compliant share classes

Investec Asset Management has announced the launch of ‘super-clean' share classes across its UK-domiciled OEIC fund range to deliver greater transparency for investors in line with the Retail Distribution Review.

02 Oct 2013
regulation-rockfall

KPMG publishes guide to AIFMD

New KPMG publication aims at being a resource for understanding EU member state transposition of Alternative Investment Fund Managers Directive.

16 Aug 2013
regulation-rockfall

Piquant Technologies becomes first AIFMD compliant UK hedge fund

Global professional services firm Kinetic Partners has supported Piquant Technologies LLP, a new UK-based quantitative fund manager, to become the first hedge fund authorised according to the Alternative Investment Fund Management Directive (AIFMD).

12 Aug 2013
whistleblower-cutout

IEPlus: Great Britain wins prize as home of whistleblowers

Great Britain has suffered a number of severe blows to its reputation as a home of honour and honesty this year, from the Libor scandal to politicians fiddling expense claims, to tabloid journalists tapping phones.

16 Nov 2012
peter-harwood-resized

Bilateral agreements set to give overall shape to FATCA

The final shape of Fatca will be determined by bi-lateral agreements arrived at between the US and other countries around the world, as part of a pragmatic decision by the US authorities to make the new rules workable.

11 Oct 2012
question mark

Solvency II in focus - Unintended consequences and how regulation encourages short-term thinking in insurance

This week we serialise a study, published recently by Clear Path Analysis, on Solvency II regulations and their impact on asset managers and insurers.

08 Oct 2012
screen-numbers-flare

Trial of UBS trader reveals weaknesses in bank data management systems

UBS’s recent unauthorised trading scandal, when Zurich-based trader Kweku Adoboli caused losses of some $2.3bn, most likely would not have been averted even with the best operating procedures in place.

25 Sep 2012
Closed sign

FACTA rules could cause banks to cut back on external asset managers

A campaign by the US authorities to reach the estimated 6.5 million US persons living outside the US who have not filed a tax return could have far-reaching consequences for the Swiss banking industry.

07 Sep 2012

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Events

mark-phelps

AB's Phelps to speak on concentrated portfolios in Hamburg

Mark Phelps, head of Concentrated Global Growth at AB, will join InvestmentEurope's Pan-European Fund Selector Summit in Hamburg.

richard-halle-m-g

M&G's Richard Halle and Daniel White to speak in Hamburg

Richard Halle and Daniel White are set to take part in the InvestmentEurope Autumn Pan-European Fund Selector Summit, which takes place in Hamburg 15-17 October.