A survey conducted on preparation for the FCA’s Senior Managers and Certification Regime, (SM&CR) has revealed that most firms have significant work to do, as they prepare for its extension to all authorised firms on 9 December. From a pool of over 70 respondents, including asset managers, hedge funds, private equity firms,
Following participation in the FCA’s Sandbox initiative in 2018/2019, SquareBook has received regulatory authorisation under Article 25 (2) of the Regulated Activities Order to ‘make arrangements with a view to transactions in investments’. The FCA approval enables SquareBook to provide new services in the Initial Public Offering (IPO) process to benefit
Boutique law firm Kleinberg Kaplan has become a champion-level sponsor of Women in Funds, a social community for female leaders in the private investment funds industry and select senior leaders at law firms, allocators, and industry consultants. “As a firm we recognise the need for diversity and we likewise counsel
By Northern Trust – With Regulation Best Interest in the rearview mirror, the SEC is poised to finalise rules governing fund of fund arrangements. Following the adoption of the long-delayed final Regulation Best Interest in June, what’s next for the US Securities and Exchange Commission (SEC)? It’s likely that finalising the proposed
Philip Duffy and Sarah Bell, both of Duff & Phelps, have been appointed Interim Managers of Northern Powerhouse Developments Limited effective Sunday 7 July 2019. The court order followed the appointment of both Duffy and Bell as Interim Managers of MBI Hawthorn Care Limited, MBI Clifton Moor Limited and Afan Valley
By Martin Lovick (pictured), Senior Principal Consultant, ACA Compliance Group – Sexual harassment and other forms of “non-financial misconduct” are now on equal footing with types of financial misconduct, such as market abuse, for the UK Financial Conduct Authority (FCA). Firms and employees are at risk of regulatory sanctions –
New research from Luxoft, a global technology services and consulting partner, has revealed that Tier one, Tier two and Tier three investment banks are overconfident about the EU’s new Securities Financing Transactions Regulation (SFTR), which comes into force next April. Almost all (99 per cent) senior compliance professionals responsible for
Over two-thirds (67 per cent) of alternative investment fund managers believe the prospect of regulatory arbitrage between European Union member states seeking to attract business is likely to grow over the next two years, according to a new study. The research reveals that regulatory arbitrage has muddied the waters for
The recent publication of a new policy from the European Investment Bank (EIB) Group provides some welcome clarity around Jersey’s ability to continue to support the objectives of the European Investment Fund (EIF), according to the head of Jersey Finance. The EIB Group published its updated policy last week (25
Guernsey funds have been reopened to millions of euros of potential investment as a result of the confirmation from the European Council of Finance Ministers (ECOFIN) that the island is considered a transparent and cooperative jurisdiction by the European Union. Confirmation of the island’s legal substance requirements, confirmed earlier this
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