Northern Trust

Coming off autopilot: The SEC issues guidance on investment advisers’ proxy voting responsibilities

Wed, 09/10/2019 - 09:00

By Northern Trust – After a November 2018 roundtable on the proxy process, the SEC has begun issuing guidance around the use of proxy advisors.  This promises to be the beginning of the SEC’s scrutiny into proxy voting, not the end. »

Andrew Knight, Harneys

A practical approach to regulation

Mon, 30/09/2019 - 14:37

The swathe of transparency disclosures required by new and upcoming regulation has been putting pressure on private equity firms. However, PE managers can work with pragmatic and knowledgeable law firms to understand exactly how the rules apply to their particular situation and consider whether there is a basis for limiting disclosure about their business and their investors. »

Mark Shaw, Wildgen Investment Fund

Demystifying Luxembourg’s regulatory burden

Mon, 30/09/2019 - 13:49

Q&A with Mark Shaw, Partner, Wildgen Investment Fund… »

Funderbeam secures financial services licenses from Monetary Authority of Singapore

Thu, 26/09/2019 - 09:34

Funderbeam, a global funding and trading platform for investors to buy and sell equity stakes in private companies, has been issued with two financial service licenses by the Monetary Authority of Singapore (MAS) for its Singapore-based subsidy, Funderbeam Markets Pte Ltd. »

Apex Group secures regulatory approval for Irish subsidiary

Tue, 24/09/2019 - 11:28

Apex Group (Apex) has received Full Depositary authorisation from the Central Bank of Ireland for its subsidiary the European Depositary Bank (EDB) to operate in Ireland. »


PGIM secures approval for Dutch AIFM

Mon, 23/09/2019 - 10:19

PGIM has secured approval from the Dutch Authority for the Financial Markets to operate an Alternative Investment Fund Manager (AIFM) from its newly established office in the Netherlands. »

James Heinicke, Ogier

Ogier urges fund managers to take action ahead of introduction of Cayman data protection law

Mon, 16/09/2019 - 13:22

Managers of Cayman funds are being encouraged to act now to ensure they fully comply with the new obligations of the Cayman Islands Data Protection Law, 2017 scheduled to come into effect on 30 September 2019. »

Dominic Wheatley, Guernsey Finance

Guernsey consults on introduction of limited liability companies

Mon, 09/09/2019 - 12:42

Guernsey is proposing to adopt limited liability companies (LLC) in a move intended to enhance the island’s competitive position in the United States. »


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