Headlines

UCITS VI warned against curbing legitimate hedging activities

Any restrictions on the eligibility of assets, particularly derivatives, through UCITS VI must avoid curtailing legitimate hedging activity at fund managers.

The European Securities and...

OECD introduces further investor reporting

Financial institutions including fund managers will need to up the ante on client due diligence and bolster investor reporting following the Organisation for Economic Cooperation and...

Dominic Hobson

SWIFT is an organisation which fund managers ought to be a lot more familiar with than most of them are.                                                                                       ...

Latest News

Asset owners taking holistic approach to collateral management

Asset owners are increasingly taking a holistic approach to their collateral management processes as a result of their growing retreat from securities lending coupled with the migration of over-the-counter (OTC) derivatives instruments into...

Post on: 29 Oct, 2014
Posted in: Investors

Mitsubishi UFJ Fund Services unveils Annex IV reporting service

Mitsubishi UFJ Fund Services has engaged with Confluence, a provider of investment data management automation, to offer Annex IV reporting services as mandated under the Alternative Investment Fund Managers Directive (AIFMD).

Post on: 29 Oct, 2014
Posted in: Fund Administration

Debate over whether multi-depositary regime could emerge under AIFMD

There is debate as to whether a multiple-depositary model could emerge under the EU’s Alternative Investment Fund Managers Directive (AIFMD) once the national private placement regime expires in 2015.

Post on: 29 Oct, 2014
Posted in: Regulation

Neil Woodford on how he invests

At the Duff & Phelps annual alternative investments conference in London this week, Neil Woodford, the head of investment at CF Woodward Equity Income, was interviewed by Mathias Schumacher, the managing director of the London office of Duff...

Post on: 29 Oct, 2014
Posted in: Investors

Stock Connect delays should not alarm asset managers and investors

Delays to the much-awaited Shanghai-Hong Kong Stock Connect scheme should not alarm asset managers and investors hoping to transact in mainland Chinese A-shares amid concerns the adjournment is attributable to regulators and market participants...

Post on: 28 Oct, 2014
Posted in: Investors

Fund managers still charging end clients for research despite FCA clampdown

Almost three quarters of UK investment firms have taken little or no action to revise the way in which they purchase research using dealing commissions despite the recent clampdown by the Financial Conduct...

Post on: 28 Oct, 2014
Posted in: Regulation

Fund managers urged to have responses to regulatory enforcement actions in place

Private funds should have a strategic response plan in place to deal with any potential regulatory enforcement action, according to Cordium, a compliance consultancy

Post on: 27 Oct, 2014
Posted in: Operational Risk

MiFID II research costs will disproportionately impact smaller managers

Requirements under the Markets in Financial Instruments Directive II (MiFID II) stipulating fund managers must pay for research through their management fee as opposed to equity commissions will adversely impact smaller firms.

Post on: 27 Oct, 2014
Posted in: Regulation

Stories

Asset owners taking holistic approach to collateral management

Asset owners are increasingly taking a holistic approach to their collateral management processes as a result of their growing retreat from securities lending coupled with the migration of over-the-counter (OTC) derivatives instruments into...

Post on: 29 Oct, 2014
Posted in: Investors

Mitsubishi UFJ Fund Services unveils Annex IV reporting service

Mitsubishi UFJ Fund Services has engaged with Confluence, a provider of investment data management automation, to offer Annex IV reporting services as mandated under the Alternative Investment Fund Managers Directive (AIFMD).

Post on: 29 Oct, 2014
Posted in: Fund Administration

Debate over whether multi-depositary regime could emerge under AIFMD

There is debate as to whether a multiple-depositary model could emerge under the EU’s Alternative Investment Fund Managers Directive (AIFMD) once the national private placement regime expires in 2015.

Post on: 29 Oct, 2014
Posted in: Regulation

Neil Woodford on how he invests

At the Duff & Phelps annual alternative investments conference in London this week, Neil Woodford, the head of investment at CF Woodward Equity Income, was interviewed by Mathias Schumacher, the managing director of the London office of Duff...

Post on: 29 Oct, 2014
Posted in: Investors

Stock Connect delays should not alarm asset managers and investors

Delays to the much-awaited Shanghai-Hong Kong Stock Connect scheme should not alarm asset managers and investors hoping to transact in mainland Chinese A-shares amid concerns the adjournment is attributable to regulators and market participants...

Post on: 28 Oct, 2014
Posted in: Investors

Fund managers still charging end clients for research despite FCA clampdown

Almost three quarters of UK investment firms have taken little or no action to revise the way in which they purchase research using dealing commissions despite the recent clampdown by the Financial Conduct...

Post on: 28 Oct, 2014
Posted in: Regulation

Fund managers urged to have responses to regulatory enforcement actions in place

Private funds should have a strategic response plan in place to deal with any potential regulatory enforcement action, according to Cordium, a compliance consultancy

Post on: 27 Oct, 2014
Posted in: Operational Risk

MiFID II research costs will disproportionately impact smaller managers

Requirements under the Markets in Financial Instruments Directive II (MiFID II) stipulating fund managers must pay for research through their management fee as opposed to equity commissions will adversely impact smaller firms.

Post on: 27 Oct, 2014
Posted in: Regulation

UCITS VI warned against curbing legitimate hedging activities

Any restrictions on the eligibility of assets, particularly derivatives, through UCITS VI must avoid curtailing legitimate hedging activity at fund managers.

Posted on: 30 Oct, 2014
Posted in: Regulation

OECD introduces further investor reporting

Financial institutions including fund managers will need to up the ante on client due diligence and bolster investor reporting following the Organisation for Economic Cooperation and Development's (OECD) agreement on the automatic exchange of info

Posted on: 30 Oct, 2014
Posted in: Investors

Asset owners taking holistic approach to collateral management

Asset owners are increasingly taking a holistic approach to their collateral management processes as a result of their growing retreat from securities lending coupled with the migration of over-the-counter (OTC) derivatives instruments into centra

Posted on: 29 Oct, 2014
Posted in: Investors

Mitsubishi UFJ Fund Services unveils Annex IV reporting service

Mitsubishi UFJ Fund Services has engaged with Confluence, a provider of investment data management automation, to offer Annex IV reporting services as mandated under the Alternative Investment Fund Managers Directive (AIFMD).

Posted on: 29 Oct, 2014

Debate over whether multi-depositary regime could emerge under AIFMD

There is debate as to whether a multiple-depositary model could emerge under the EU’s Alternative Investment Fund Managers Directive (AIFMD) once the national private placement regime expires in 2015.

Posted on: 29 Oct, 2014
Posted in: Regulation

Stock Connect delays should not alarm asset managers and investors

Delays to the much-awaited Shanghai-Hong Kong Stock Connect scheme should not alarm asset managers and investors hoping to transact in mainland Chinese A-shares amid concerns the adjournment is attributable to regulators and market participants st

Posted on: 28 Oct, 2014
Posted in: Investors

Fund managers still charging end clients for research despite FCA clampdown

Almost three quarters of UK investment firms have taken little or no action to revise the way in which they purchase research using dealing commissions despite the recent clampdown by the Financial Conduct Autho

Posted on: 28 Oct, 2014
Posted in: Regulation

Fund managers urged to have responses to regulatory enforcement actions in place

Private funds should have a strategic response plan in place to deal with any potential regulatory enforcement action, according to Cordium, a compliance consultancy

Posted on: 27 Oct, 2014
Posted in: Operational Risk

MiFID II research costs will disproportionately impact smaller managers

Requirements under the Markets in Financial Instruments Directive II (MiFID II) stipulating fund managers must pay for research through their management fee as opposed to equity commissions will adversely impact smaller firms.

Posted on: 27 Oct, 2014
Posted in: Regulation

Firms should consult MiFID II for insights into AIFMD reverse solicitation rules

Firms seeking to rely on reverse solicitation to attract EU capital under the Alternative Investment Fund Managers Directive (AIFMD) should refer to the Markets in Financial Instruments Directive II (MiFID II) as the text makes passing reference t

Posted on: 27 Oct, 2014
Posted in: Regulation

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