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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...

Dominic Hobson

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

Latest News

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

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.

Post 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.

Post 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.

Post on: 13 Oct, 2014
Posted in: Launches

GAIM Ops: Asian fund passporting schemes could threaten UCITS

A source close to the Central Bank of Ireland (CBI), the Irish regulator, has said fund passporting schemes in Asia could facilitate reduced access for UCITS managers to investors in the region.

Post on: 10 Oct, 2014
Posted in: Regulation

Stories

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

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.

Post 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.

Post 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.

Post on: 13 Oct, 2014
Posted in: Launches

GAIM Ops: Asian fund passporting schemes could threaten UCITS

A source close to the Central Bank of Ireland (CBI), the Irish regulator, has said fund passporting schemes in Asia could facilitate reduced access for UCITS managers to investors in the region.

Post on: 10 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

GAIM Ops: Asian fund passporting schemes could threaten UCITS

A source close to the Central Bank of Ireland (CBI), the Irish regulator, has said fund passporting schemes in Asia could facilitate reduced access for UCITS managers to investors in the region.

Posted on: 10 Oct, 2014
Posted in: Regulation

GAIM Ops: Managers urged to collect static Annex IV data

Fund managers impacted by the Alternative Investment Fund Managers Directive (AIFMD) should begin collecting static data from their counterparties to start populating the Annex IV report so as to avoid a mad rush when the deadline approaches.

Posted on: 10 Oct, 2014
Posted in: Regulation

Financial institutions warned on cyber-insurance

Financial institutions must ensure they have adequate cyber-insurance to deal with the aftermath of any cyber-breach.

Posted on: 08 Oct, 2014
Posted in: Technology

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