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Dec 21, 2018

RegTech: Changing the Landscape of Financial Regulation

According to Deloitte, RegTech, or regulatory technology, is the “new Fintech” - an industry undergoing transformation by innovative software.

Dec 17, 2018

Proposed harmonization of SEC and CFTC regulatory requirements: How alignment could alter regulatory reporting

Within the past month, both the Futures Industry Association (FIA) and the Managed Funds Association (MFA) have written to address both the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CTFC) regarding regulation subject to dual registrants. These letters both urge the SEC and CFTC to work together to reduce the burden of regulatory requirements in different ways.

Dec 12, 2018

Jurisdictional variances for AIFMD Annex IV reporting

There is a variety of different reporting jurisdictions based on AIFM domiciles, which can create confusion and difficulty when submitting reports due to the different formats accepted and variation in submission portals. On top of that, some jurisdictions have different deadlines – meaning, if you are a manager that files to more than one jurisdiction, you may have two slightly different deadline dates and are therefore at risk of missing one.

Aug 7, 2018

Overview of prudent valuation

Capital Requirements Regulation (CRR) is an EU law that aims to decrease the likelihood that banks go insolvent. Prudent valuation, incorporated under the CRR, requires diligent valuation of financial instruments to ensure that the solvency of a financial institution is not misrepresented.

Jul 24, 2018

Keeping up with the Securities and Futures Commission surveys

Over the past few years, the hedge fund industry has been steadily gaining momentum in Hong Kong. In light of this increased activity, the Securities and Futures Commission (SFC) conducts two major surveys on licensed corporations that manage assets or give advice to hedge funds.


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