Headlines

DTCC urges greater collaboration on cyber-crime threats

A white paper published by the Depository Trust & Clearing Corporation (DTCC) has urged regulators and financial institutions to collaborate more on the increasing threats posed by cyber-...

Solvency II will facilitate retreat from alternatives by insurers, says UBS/PwC study

More than two-thirds of insurance companies intend to scale back their exposures to alternative asset managers as a result of regulation, according to a survey by UBS Fund Services 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

BNP Paribas unveils Annex IV reporting service

BNP Paribas Securities Services has launched an outsourced reporting service for firms filing their Annex IV under the Alternative Investment Fund Managers Directive (AIFMD).

Post on: 23 Oct, 2014
Posted in: Fund Administration

SEC could introduce financial competency exams to determine accredited investors

The Securities and Exchange Commission (SEC) is likely to change the definition of accredited investor either by increasing the income or net worth threshold, or by introducing financial competency examinations in what could make it harder for...

Post on: 22 Oct, 2014
Posted in: Regulation

ESMA likely to force primes to segregate AIF and non-AIF assets

The European Securities and Markets Authority (ESMA) is likely to force prime brokers to segregate AIF assets from non-AIF assets in what could have significant implications for the prime brokerage operating model.

Post on: 20 Oct, 2014
Posted in: Regulation

COOConnect Interview with Roman Pelka of Montfort Funds

COOConnect spoke to Roman Pelka of Montfort Funds about the effects of the CISA-CISO regime on hedge funds in Switzerland.

Post on: 20 Oct, 2014
Posted in: Video Features

GAIM Ops Dublin - The Summary

Here is a summary of GAIM Ops, Dublin, which took place from 8-10 October 2014. COOConnect editor Charles Gubert was in attendance at the conference in the Republic of Ireland.

Post on: 17 Oct, 2014
Posted in: Operations

Regulators must take preventative not reactive approach to mitigate CCP failures

Global regulators and financial institutions should focus on preventative rather than reactive measures to mitigate the knock-on effects of a central counterparty clearing house (CCP) running into difficulty if one of its clearing members...

Post on: 16 Oct, 2014
Posted in: Regulation

Massimo Cotella announces his departure from SGSS

One of the best known and highest profile figures in the securities services industry is leaving Société Générale Securities Services (SGSS) in early November.

Post on: 16 Oct, 2014
Posted in: People Moves

AIFMs outsourcing Annex IV to fund admins could be forced to disclose data to investors

Firms outsourcing the compilation and submission of their Annex IV to fund administrators could find themselves under pressure to disclose the document to investors if administration costs are borne by the fund.

Post on: 15 Oct, 2014
Posted in: Outsourcing

Stories

BNP Paribas unveils Annex IV reporting service

BNP Paribas Securities Services has launched an outsourced reporting service for firms filing their Annex IV under the Alternative Investment Fund Managers Directive (AIFMD).

Post on: 23 Oct, 2014
Posted in: Fund Administration

SEC could introduce financial competency exams to determine accredited investors

The Securities and Exchange Commission (SEC) is likely to change the definition of accredited investor either by increasing the income or net worth threshold, or by introducing financial competency examinations in what could make it harder for...

Post on: 22 Oct, 2014
Posted in: Regulation

ESMA likely to force primes to segregate AIF and non-AIF assets

The European Securities and Markets Authority (ESMA) is likely to force prime brokers to segregate AIF assets from non-AIF assets in what could have significant implications for the prime brokerage operating model.

Post on: 20 Oct, 2014
Posted in: Regulation

COOConnect Interview with Roman Pelka of Montfort Funds

COOConnect spoke to Roman Pelka of Montfort Funds about the effects of the CISA-CISO regime on hedge funds in Switzerland.

Post on: 20 Oct, 2014
Posted in: Video Features

GAIM Ops Dublin - The Summary

Here is a summary of GAIM Ops, Dublin, which took place from 8-10 October 2014. COOConnect editor Charles Gubert was in attendance at the conference in the Republic of Ireland.

Post on: 17 Oct, 2014
Posted in: Operations

Regulators must take preventative not reactive approach to mitigate CCP failures

Global regulators and financial institutions should focus on preventative rather than reactive measures to mitigate the knock-on effects of a central counterparty clearing house (CCP) running into difficulty if one of its clearing members...

Post on: 16 Oct, 2014
Posted in: Regulation

Massimo Cotella announces his departure from SGSS

One of the best known and highest profile figures in the securities services industry is leaving Société Générale Securities Services (SGSS) in early November.

Post on: 16 Oct, 2014
Posted in: People Moves

AIFMs outsourcing Annex IV to fund admins could be forced to disclose data to investors

Firms outsourcing the compilation and submission of their Annex IV to fund administrators could find themselves under pressure to disclose the document to investors if administration costs are borne by the fund.

Post on: 15 Oct, 2014
Posted in: Outsourcing

DTCC urges greater collaboration on cyber-crime threats

A white paper published by the Depository Trust & Clearing Corporation (DTCC) has urged regulators and financial institutions to collaborate more on the increasing threats posed by cyber-crime.

Posted on: 23 Oct, 2014
Posted in: Technology

Solvency II will facilitate retreat from alternatives by insurers, says UBS/PwC study

More than two-thirds of insurance companies intend to scale back their exposures to alternative asset managers as a result of regulation, according to a survey by UBS Fund Services and PricewaterhouseCoopers (Pw

Posted on: 23 Oct, 2014
Posted in: Regulation

BNP Paribas unveils Annex IV reporting service

BNP Paribas Securities Services has launched an outsourced reporting service for firms filing their Annex IV under the Alternative Investment Fund Managers Directive (AIFMD).

Posted on: 23 Oct, 2014

SEC could introduce financial competency exams to determine accredited investors

The Securities and Exchange Commission (SEC) is likely to change the definition of accredited investor either by increasing the income or net worth threshold, or by introducing financial competency examinations in what could make it harder for sma

Posted on: 22 Oct, 2014
Posted in: Regulation

ESMA likely to force primes to segregate AIF and non-AIF assets

The European Securities and Markets Authority (ESMA) is likely to force prime brokers to segregate AIF assets from non-AIF assets in what could have significant implications for the prime brokerage operating model.

Posted on: 20 Oct, 2014
Posted in: Regulation

Regulators must take preventative not reactive approach to mitigate CCP failures

Global regulators and financial institutions should focus on preventative rather than reactive measures to mitigate the knock-on effects of a central counterparty clearing house (CCP) running into difficulty if one of its clearing members defaults

Posted on: 16 Oct, 2014
Posted in: Regulation

AIFMs outsourcing Annex IV to fund admins could be forced to disclose data to investors

Firms outsourcing the compilation and submission of their Annex IV to fund administrators could find themselves under pressure to disclose the document to investors if administration costs are borne by the fund.

Posted on: 15 Oct, 2014
Posted in: Outsourcing

FICC seeks regulatory approval to offer clearing in tri-party repo market

The Fixed Income Clearing Corporation (FICC) is seeking regulatory approval from the Securities and Exchange Commission (SEC) and Federal Reserve to provide centralised clearing for the $1.6 trillion institutional tri-party repo market.

Posted on: 15 Oct, 2014
Posted in: Regulation

GAIM Ops: Alternative sources of hedge fund financing could emerge

Alternative sources of hedge fund financing could emerge as prime brokers scale back their financing as banks seek to meet their Basel III capital requirements.

Posted on: 13 Oct, 2014
Posted in: Prime Brokerage

GAIM Ops: Emerging managers warned on challenges

Managers need Assets under Management (AuM) of between $100 million and $150 million if they are to break-even amid growing regulatory scrutiny and pressure from investors to institutionalise their businesses.

Posted on: 13 Oct, 2014
Posted in: Launches

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