regulation

Mar 28, 2019

Regulatory_reportingGoldman Sachs International’s transaction reporting failures for which it was fined £34.3 million this week were in some cases similar to errors made by the bank in 2006 and 2007, the City watchdog said.

Mar 26, 2019

US_congressThe London-based Alternative Investment Management Association (AIMA) has opened its second office in the US, in Washington DC.

Mar 25, 2019

london-stock-exchangeLondon Stock Exchange (LSE) Group has received regulatory approval to operate a trade repository in Amsterdam in case of a no-deal Brexit.

Mar 20, 2019

Tough_exerciseFund managers face yet another extensive reporting exercise under new securities finance rules. But the result could be a better securities lending market for asset owners, reports Nicholas Pratt.

Mar 20, 2019

Europe_and_North_AfricaCross-border rules in the EU relating to Ucits can be complex. For anyone new to the market or in need of a refresher, Ivica Kustura of North University, Croatia, offers a simplified explanation.

Mar 20, 2019

Lisa_WeihserThe Swiss fund market is the fourth largest in Europe with a 7.2 % market share and a total volume of 1,088.8 billion Swiss francs (€966 billion).

Mar 14, 2019

Exit_signThe UK financial regulator is to consider banning fees charged by investment platforms to make it easier for investors to switch providers.

Mar 13, 2019

Memorandum of understanding The two fund domiciles of Jersey and Guernsey, which specialise in alternative investment vehicles, have gained agreements between the islands’ financial regulators and their UK counterpart that clarifies their funds will have access to UK investors in the event of Brexit.

Mar 12, 2019

Dried_up_lakeFive asset managers were due to take part in the first meeting of a forum that UK regulators organised to tackle the risks to the financial services sector of climate change.

Feb 28, 2019

Brexit_arrowsThe UK’s financial regulator the Financial Conduct Authority (FCA) is urging firms to make sure all necessary steps are in place to protect customers from the what it calls the “negative impacts of leaving the EU, whatever the outcome of negotiations” – including the increasingly likely event of a so-called ‘no-deal’ Brexit.

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