Sign up for free newsletter


Legal & Regulation

Nick Blake, Vanguard

Demand for financial advice will continue to grow

Tue, 13/10/2015 - 13:41

Nick Blake (pictured), Vanguard’s Head of UK Retail, comments on the Financial Advice Market Review… »

Charles Schwab Investment Management changes MMF line-up

Charles Schwab Investment Management changes MMF line-up

Mon, 12/10/2015 - 10:10

Charles Schwab Investment Management is making changes to its money market fund line-up to address new SEC regulations. »

Beverly Chandler

The NCI declares increased regulation risks stifling innovation in fund management

Mon, 12/10/2015 - 08:53

The independent think tank, The New City Initiative (NCI), created to offer an independent, expert voice in the debate over the future of financial regulation, has published a paper on some of the regulatory issues expected to confront the asset management industry over the coming years and calls for changes to be made to better structure this regulation.  »

HMRC proposals for tackling offshore tax evasion are seriously flawed, says Kingsley Napley

HMRC proposals for tackling offshore tax evasion are seriously flawed, says Kingsley Napley

Fri, 09/10/2015 - 10:20

The proposed new HMRC powers to "crack down" on offshore tax evasion are seriously flawed, law firm Kingsley Napley says in its official response to the HRMC consultation exercise. »

Mark Weir, Maples Fund Services

How to generate regulatory alpha

Wed, 30/09/2015 - 11:53

The recent swathe of regulation has meant that managers face an incredible drain on internal resources, leading to increased headcount, increased operating costs, and distraction from core competencies. »

Nixk Tsafos, EisnerAmper

Tax implications of trading swaps with prime brokers

Wed, 30/09/2015 - 11:38

There are some early signs that the effects of Basel 3 are changing the way that hedge funds do business with their prime brokers. In today's new reality, primes are becoming more prescriptive over how the bank's balance sheet is being utilised to support clients' trades. To mitigate the costs of trading physical securities, some managers are beginning to use more synthetic instruments.  »

Geoff Ruddick, IMS Fund Services

Independent directors and the split board saga

Wed, 30/09/2015 - 11:32

By Geoff Ruddick (pictured), IMS Fund Services – There has been an extraordinary focus on and trend towards `split boards' in the last few years. For most people the accepted definition of a `split board' is having independent directors from different fiduciary firms. It is considered by some to be the best way to construct a board. In reality this is an overly simplistic definition and assessment of how to recruit and construct an effective and diverse board.  »

People don’t need to own a property to benefit from new UK IHT property proposals

People don’t need to own a property to benefit from new UK IHT property proposals

Tue, 22/09/2015 - 09:47

According to HMRC’s technical note outlining the new main residence nil-rate band and downsizing proposals, people don’t need to own a property on death to benefit from the new residence nil-rate band. »

UCITS V may be modest but it packs a punch

UCITS V may be modest but it packs a punch

Tue, 04/08/2015 - 22:58

A new paper from SuMi TRUST finds that the fifth iteration of the Undertakings for Collective Investment in Transferable Securities Directive (UCITS V) is a modest measure. »

Monique Mel

FCA fines firms and individuals over GBP1bn for market integrity breaches

Wed, 15/07/2015 - 13:58

The FCA fined firms and individuals a total of GBP1.23 billion in 2014 for market integrity related breaches, which included abusive market behaviour such as: manipulation, insider dealing, FX failings and benchmark (i.e. Libor) manipulation.  »

Joanne Segars, NAPF

Review of pensions tax is welcome news

Thu, 09/07/2015 - 10:52

Joanne Segars (pictured), Chief Executive, National Association of Pension Funds (NAPF) comments on the changes to pensions announced in the 2015 Summer Budget, including the Chancellor’s announcement to introduce a taper on higher rate pensions tax relief along with the introduction of a wider review of pensions taxation…  »

Beverly Chandler

Regulatory fines more than double in the UK

Tue, 16/06/2015 - 11:08

Kinetic Partners' 2015 Global Enforcement Review reveals that the Financial Conduct Authority penalised firms a total of GBP1.47 billion in 2014, with an average value of fines up by two and a half times on 2013, at GBP36.79 million compared with GBP9.88 million in 2013. »

Pound sign

LIBOR – what’s the big deal?

Fri, 12/06/2015 - 15:10

Sara Teasdale, Partner, Byrne and Partners explains the background to the LIBOR scandal and its impact for investors. She writes that in 1984 concerns emerged that with banks increasingly trading a variety of options based on loans there developed a need to standardise the pricing of those loans. The British Bankers’ Association (BBA) established various working parties and in October 1984 the production of the BBA standards for interest swap rates (BBAIRS) was born.   »

document signing

Brooks Macdonald International granted license to operate in South Africa

Tue, 02/06/2015 - 06:00

Brooks Macdonald International (BMI) has been granted a Category I license to provide advisory and intermediary services in South Africa by the Financial Services Board (FSB). »


Silver Law Group investigates retirement advisors who falsely promoted alternative investments

Tue, 26/05/2015 - 09:00

Silver Law Group is investigating claims against a pair of self-described retirement planners who are alleged to have falsely promoted to customers the safety and profitability of interest in life settlements. »

Union Flag

The General Election and HNWIs

Thu, 07/05/2015 - 09:08

On Election Day, Waverton's Rupert Elwes assesses the impact of potential reforms on HNW investors… »


IFIA voices MMFR concerns

Fri, 01/05/2015 - 16:30

The Irish Funds Industry Association (IFIA) has responded to the European Parliament’s (EP) decision on Wednesday to vote through an ECON report on Money Market Fund Regulation (MMFR). »


LEBC steps up call for pension fund cooling down period with letter to FCA

Wed, 25/03/2015 - 19:30

LEBC Group has stepped up its call for the Government to introduce a 30 day cooling off period for those seeking access to all of their pension funds, unless they have been advised by a regulated independent adviser, by writing to Martin Wheatley chief executive of The Financial Conduct Authority’s (FCA). »

James Williams, Hedgeweek

Managers face Swiss Legal Representative requirement

Tue, 24/02/2015 - 20:22

The sands of time are running out for hedge fund managers wishing to continue distributing their funds to Swiss investors. As of 1 March 2015, any foreign hedge fund looking to raise assets in Switzerland from qualified investors will be required to appoint a Swiss legal representative and paying agent.  »


Estate planning with legal entities requires strategic planning, says Atlantic Trust

Fri, 13/02/2015 - 12:30

Legal entities can provide powerful benefits to a family's overall wealth management plan but only if they work together as a cohesive, smoothly running unit, according to Atlantic Trust. »


Fund managers could face regulatory sanctions over EMIR

Wed, 11/02/2015 - 13:28

Tim Thornton, Chief Data Officer, Mitsubishi UFJ Fund Services, says fund managers could face regulatory sanctions over EMIR… »

hands shaking

Fund managers begin positioning for money fund reform, says Fitch

Wed, 11/02/2015 - 11:45

Six months after the SEC voted on reforms, money fund managers are beginning to take steps to comply with the new rules and position themselves to retain and attract clients, according to Fitch. »

Information sign

FFIs must be FATCA compliant as deadline approaches

Mon, 29/12/2014 - 14:00

Tim Thornton, Chief Data Officer at Mitsubishi UFJ Fund Services, comments on the December 31 FATCA deadline… »

man with megaphone

CFTC issues no action relief for family offices from CTA registration

Thu, 27/11/2014 - 09:00

The US Commodity Futures Trading Commission has issued a no-action letter providing family offices relief from commodity trading advisor registration, in connection with advisory services they provide to family clients. »

law books

SEC charges HSBC’s Swiss Private Banking Unit over unregistered US services

Wed, 26/11/2014 - 11:15

The SEC has charged HSBC’s Swiss-based private banking arm with failing to register before providing cross-border brokerage and investment advisory services to US clients. »


Merrill Lynch and US Trust sign United Nations Principles for Responsible Investment

Wed, 26/11/2014 - 10:15

Bank of America’s Global Wealth and Investment Management (GWIM) division has signed the United Nations-supported Principles for Responsible Investment (PRI). »

James Williams, Hedgeweek

Data management and reporting solutions are key to achieving operational efficiency

Tue, 23/09/2014 - 15:32

It’s a fair assumption to say that the proliferation of hedge fund regulation has spurred technology providers to produce newer, innovative solutions.  »


Gibraltar gears up to comply with US foreign tax rules

Mon, 11/08/2014 - 13:49

The Rock’s financial services sector must act now to embrace FATCA, warns Nicola Smith, CEO of Gibraltar-based fund administrator, Helvetic. »


Alter Domus adopts Thomson Reuters FATCA solution

Wed, 23/07/2014 - 15:03

Alter Domus, a provider of fund administration and fund services, has adopted Thomson Reuters FATCA solution across its services platform to improve client identification and on-boarding. »

Approved stamp

Omni Partners obtains licence under AIFMD

Wed, 23/07/2014 - 14:02

The UK Financial Conduct Authority (FCA) has approved Omni Partners’ application for an authorised licence under the Alternative Investment Fund Managers Directive (AIFMD). »

MediaWatch WA awards 2015

See interviews and presentation at the Wealth Adviser 2015 awards ceremony, held at Sketch, Mayfair on the 15th May .... »



Beverly Chandler

The three founding partners of private investment office Capital Generation Partners emerged from a family office, based in Switzerland in 2003.  ... »


Nithin Thomas

Last week’s news of the ETF Securities’ launch of the first European ETF focused on cybersecurity was greeted by Dr Nithin Thomas, (pictured) founder and CEO of security start-up SQR Systems as ‘excellent news’. ... »

Special report
US Hedge Fund Services 2015

US Hedge Fund Services 2015

Wed, 30/09/2015 - 11:21

A rising tide of regulation is threatening to swamp US hedge funds with significant trading, distribution and reporting issues.This Hedgeweek Special Report unravels these issues, guides managers through the solutions currently available to them, and examines the challenges of running activist hedge funds, where assets have grown to USD120 billion over the past decade... »

Special report
The TYVIX Index: Navigating through interest rate volatility

With interest rates set to rise, this Hedgeweek Special Report examines the the latest tools available to fixed income investors and traders in the form of the CBOE/CBOT 10-year US Treasury Note Volatility Index (The TYVIX Index) and TYVIX futures, which give traders an effective way to hedge, gain exposure to, or trade interest rate volatility.... »

Index options & futures

John Angelos, CBOE

Interest rate volatility is like a storm cloud building on the horizon. The US Federal Reserve has kept rates stable for nigh on a decade, but global asset managers are now preparing for their fixed income portfolios to feel the impact of a rate rise later this year.  ... »

Associate TMT Investment Banking *Urgent Hire*

Mon, 12 Oct 2015 00:00:00 GMT

TMT Associate Investment Banking

Mon, 12 Oct 2015 00:00:00 GMT

Healthcare Investment Banking Associate

Mon, 12 Oct 2015 00:00:00 GMT

5 days 11 hours from now - Hong Kong
5 days 11 hours from now - Cairo
5 days 11 hours from now - New York