By George Ralph (pictured), RFA – If you hadn’t already got enough on the agenda for this year, MiFID II – Markets in Financial Instruments Directive II – and its accompanying regulation, Markets in Financial Instruments Regulation (MiFIR) are looming ever closer to their full implementation date of 3rd January
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
Koger, a financial services technology company and provider of the NTAS platform for fund administration and compliance, has received the ISO 9001: 2015 quality management certification. Koger’s certification means the company meets a comprehensive quality standard that covers all of its processes and operations. A quality management system that
Financial regulators across the globe are cracking down heavily on cases of individual misconduct, according to the 5th annual Global Enforcement Review published by the Compliance and Regulatory Consulting Practice of Duff & Phelps. Regulators in the UK, USA and Hong Kong brought a total of 1,761 cases against individuals
By Nick Bayley (pictured), Duff & Phelps – Unsurprisingly, even a MiFID II geek like me prefers to spend time enjoying the Lions tour and Wimbledon than with the FCA’s second MiFID II Policy Statement which runs to over a thousand pages, including the Handbook text. Much work is still
Collas Crill has advised Freedom Select Funds PCC Limited (FSF) on its conversion to Guernsey’s new Private Investment Fund (PIF) regime. FSF is managed by Freedom Asset Management Limited (FAML) and was established as a registered closed-ended fund in 2016. The Collas Crill team, including group partner Paul Wilkes
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 Daniel Viola, Sadis & Goldberg – In the wake of the 2008 financial crisis, Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), overhauling the financial regulatory system. Congress required the US Securities & Exchange Commission (the SEC) and the US Commodity Futures Trading Commission (the CFTC)
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
12 November, 2026 – 5:00 pm
12 November, 2026 – 8:00 am
12 February, 2026 – 8:00 am
12 February, 2026 – 5:00 pm
