By George Ralph, RFA – It’s August already, and 2017 is over half gone. There are two major pieces of legislation coming into effect in early 2018, which will affect alternative investment firms in the UK, and firms worldwide who are holding data on European citizens, or trading with firms
The ID Register, an online platform which makes the Know Your Client (KYC) process quicker, easier and more cost effective, passed its first birthday on 22 July. Since its launch the platform has grown rapidly with more than 17,500 registered investors and 140 GPs including StepStone, Gilde, Adam Street Partners
StarCompliance, a provider of enterprise compliance and regulatory software solutions for the financial services industry, has secured an investment from Luminate Capital Partners, a San Francisco-based private equity firm, to support its global growth strategy. StarCompliance’s software platform helps financial services institutions manage, prevent, detect, report and resolve employee conflicts
New York-based PortfolioScience and Eze Software have joined forces to offer the marketplace a unique solution for fund managers: pre-trade compliance rules based on market risk. The RiskAPI service, developed by PortfolioScience, is a fully hosted and customisable risk solution that integrates seamlessly with existing applications and programming frameworks to
Running an alternative fund management business has become a far more considered, strategic affair in the light of significant regulatory changes post-08. One might compare it to the ultimate game of strategy, chess. To stay in compliance with AIFMD, Dodd-Frank, and the upcoming MiFID II and General Data Protection Regulations
By George Ralph (pictured), RFA – 2017 is as good a time as any to be starting a new alternative investment firm, certainly better than it would have been a decade ago, but there are some key areas of focus that start-ups should be on top of. Here are some
By George Ralph (pictured), RFA Financial Cloud and Technology Services – It’s a widely held misconception that heavily regulated industries are the least agile, and the slowest to innovate. In the financial services sector particularly, there is a tendency to see compliance and responsibility as a barrier to success, when
By George Ralph (pictured), RFA Financial Cloud and Technology Services – The global financial crisis and subsequent recession happened almost a decade ago, but their legacy goes on and on, with more stringent regulations and bigger fines every year. The financial services sector has to comply, whilst also trying to
The final regulations of MiFID II announced today are likely to lose brokers business, analysts their jobs and also hit fund managers’ profits says Cleveland & Co Associates, the boutique legal advisory business. Among the new regulations of MiFID II, which are due to come into effect in January 2018,
SteelEye, the compliance technology and data analytics firm, has appointed Matt Smith (pictured), a highly-experienced regulatory tech specialist, as its new Chief Executive Officer. Smith’s appointment is aimed at helping drive the firm’s growth as it markets its secure and scalable data storage platform which incorporates best-in-class analytics. The SteelEye
12 November, 2026 – 5:00 pm
12 November, 2026 – 8:00 am
12 February, 2026 – 8:00 am
12 February, 2026 – 5:00 pm
