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

Annex IV preparations yet to begin for majority of managers

More than half of fund managers have yet to begin preparations for their Annex IV reporting obligations due to come into effect from January 31, 2015 under the Alternative Investment Fund Managers Directive (AIFMD), according to a survey by Cordiu

Posted on: 22 Sep, 2014
Posted in: Regulation

COOConnect webinar on Annex IV: Key Points

COOConnect held a webinar on the implications Annex IV reporting under the European Union’s Alternative Investment Fund Managers Directive (AIFMD) will have for the fund management industry.

Posted on: 07 Jul, 2014
Posted in: Regulation

SS&C GlobeOp confident of gaining authorisation for depo-lite before AIFMD deadline

SS&C GlobeOp is confident it will have approval from the UK’s Financial Conduct Authority (FCA) to operate as an fully authorised depositary-lite by the July 22, 2014 implementation deadline of the Alternative Investment Fund Managers Directiv

Posted on: 03 Jul, 2014

ManCo platforms could face ESMA clampdown

The European Securities and Markets Authority (ESMA) could clamp down on management company (ManCo) platforms if they are perceived to be letterbox entities when it conducts its review of the Alternative Investment Fund Managers Directive (AIFMD)

Posted on: 12 May, 2014
Posted in: Regulation

Cordium and IVP launch Annex IV reporting toolkit

Cordium, the compliance consultancy, is to partner with financial services technology specialist Indus Valley Partners (IVP) in offering an Annex IV reporting service.

Posted on: 24 Apr, 2014
Posted in: Launches

Cordium acquires Zodiac in latest buy-out

Cordium, the regulatory compliance firm, has acquired the Maltese-based Zodiac Advisory Services in what is its third buy-out in as many months. 

Posted on: 25 Feb, 2014
Posted in: People Moves

Cordium acquires HedgeStart in latest buy-out

Cordium, the regulatory compliance consultancy, has acquired HedgeStart.

This expansion will provide a further boost to Cordium's accounting division and adds corporate and private client services to its product line.

Posted on: 23 Jan, 2014
Posted in: People Moves

AIFMs waiting on FCA authorisation after July 22 need clarity on marketing rules

Greater clarity needs to be issued as to whether managers can continue to market through national private placement regimes to EU investors if the UK Financial Conduct Authority (FCA) has not approved their applications to become  AIFMs b

Posted on: 14 Jan, 2014
Posted in: Regulation

Cordium acquires Sigma Partnership

Cordium, the regulatory compliance consultancy, has acquired Sigma Partnership, a London-based compliance and accounting firm. 
Posted on: 16 Dec, 2013
Posted in: People Moves


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