SS&C GlobeOp has obtained Financial Conduct Authority (FCA) approval for its Depositary “Lite" service offering. The recently launched service helps managers of non-EEA AIFs in fulfilling their Alternative Investment Fund Manager Directive (AIFMD) requirements. SS&C will help managers comply with various aspects of the AIFMD including functions relating to
With less than one month to go until the transitional phase of the EU Alternative Investment Fund Managers Directive (AIFMD) comes to an end, Jersey is seeing a strong take-up in its private placement route into Europe. Figures from the Jersey Financial Services Commission (JFSC) show that more than 70
Maitland has received approval from the Luxembourg regulator (CSSF Luxembourg) for its Alternative Investment Fund Manager Directive (AIFMD) compliant management company and specialised investment fund. Together, they provide fund managers with a solution to the regulatory and supervisory burden associated with the AIFMD, enabling them to focus on their core fund
The Financial Conduct Authority (FCA) penalised British firms a total of GBP506.94m (USD770m) in 2013, according to research from Kinetic Partners. The penalties handed down by FCA to individuals totalled GBP5.42m (USD8.23m) in 2013. While the amount fined to individuals only accounted for slightly more than one per cent,
Vistra, a provider of trust, corporate and fund administration services, has expanded its AIFMD depositary services in the Netherlands. Vistra Netherlands has appointed Peter Soesbeek as a director to lead the expansion. He joins following a in corporate services groups and banking institutions, and has extensive experience in AIFMD depositary
Linedata has released a new version of its transfer agency software Linedata Mshare, which is designed to address client concerns over both regulatory compliance and how to attract new business. This release includes FATCA withholding tax capabilities, Anti-Money Laundering (AML) updates and enhanced private equity functionality. The new release
The EU has published MiFID II in the Official Journal (OJ) following more than two and a half years of consultation and negotiation. Publication in the OJ sets the date on which MiFID II enters into force as 2 July 2014. The rules enter into effect 30 months later,
The Goldman Sachs Group and Bain Capital Partners have agreed to pay a total USD121 million in settlement of Dahl v Bain Capital Partners, according to law firm Robins, Kaplan, Miller & Ciresi. Bain has agreed to a settlement for USD54 million, and Goldman Sachs agreed to a USD67 million
EisnerAmper has launched EisnerAmper Compliance and Regulatory Services (CARS), a full-service consultancy providing outsourced compliance programmes and solutions to US and offshore investment advisers. CARS supports clients managing all asset classes including alternative (hedge funds, private equity funds, funds of funds and CPOs) and non-alternative investment vehicles, wealth managers, managed
The exponential growth of Big Data will trigger a sharp rise in UK financial services firms being investigated, and potentially fined, by regulators, according to Data-as-a-Service provider Anomaly42. The warning follows a string of high-profile cases of international banks facing multi-million pound fines for breaking AML (anti-money laundering) rules and sanctions
12 November, 2026 – 5:00 pm
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