All regulation news

SEC hits UBS with record $12 million penalty

19 January 2015 Washington DC
Reporter: Stephanie Palmer

A subsidiary of UBS has agreed to pay a record penalty after been charged by the SEC with disclosure and confidentiality violations related to the operation and marketing of its dark pool...

ICAV Bill approval is imminent, says IFIA

19 January 2015 Dublin
Reporter: Stephanie Palmer

The new Irish Collective Asset-management Vehicle Bill could come in to law within a matter of weeks, according to IFIA director Kieran Fox...

SEC imposes transparency rules for SDRs

16 January 2015 Washington DC
Reporter: Stephanie Palmer

The Securities Exchange Commission has introduced new rules to increase transparency in the security-based swap market...

AMfine and Fundsquare launch AIFMD partnership

13 January 2015 Luxembourg
Reporter: Stephanie Palmer

AMfine Services and Securities is pairing with Fundsquare in Luxembourg to provide an integrated system for AIFMD reporting requirements...

ESMA’s 2015 passport date too hasty, says ALFI

12 January 2015 Luxembourg
Reporter: Stephanie Palmer

The proposed 2015 extension of AIFMD passporting to non-EU fund managers would be premature and could cause market distortion, according to ALFI...

Regulations lead to buy-side risk, says Misys

12 January 2015 London
Reporter: Stephanie Palmer

The increase in regulations throughout the financial industry is leading to greater risks and more opportunities for buy-side firms, according to a white paper released by Misys...

Investors want a regulated product, says Northern Trust

07 January 2015 London
Reporter: Stephanie Palmer

Investors in alternative investment funds are increasingly demanding products that comply with new regulations, according to a survey by Northern Trust...

Derivatives users not ready for margin regulations

06 January 2015 New York
Reporter: Stephanie Palmer

Derivatives end users are concerned about their ability to meet new margin requirements for non-cleared derivatives, according to a survey by the International Swaps and Derivatives Association (ISDA)...