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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.

Jun 26, 2018

SEC fines 13 private fund advisors for repeated Form PF oversight

The Securities and Exchange Commission (SEC) recently announced settlements with 13 registered investment advisers (RIAs) who had repeatedly failed to complete Form PF (Private Fund) over multiple years.

Jun 5, 2018

AIFMD Reverse solicitation: The basic principles

The Alternative Investment Fund Managers Directive (AIFMD) applies to nearly all fund managers domiciled in the EU or who market to EU investors. However, this directive does contain some niche exceptions. Find out how third country managers can be excused from AIFMD and next steps they need to consider. 

May 22, 2018

BASEL III: Complying with disclosure requirements, pillar three

The newly introduced Basel III regulation includes microprudential reforms to strengthen the resilience of individual banks in periods of stress. Basel III also has macroprudential reforms to address system wide risks across the banking sector.


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