Blogs
GICS Changes in March to Impact Sensitive Industries Monitoring
The Global Industry Classification Standard is changing 17 March 2023, and investment management companies will need to reflect changes to stay compliant.
Position Limits keep vying for the compliance spotlight, and for good reason
Our latest blog focuses on how derivatives limit monitoring is still a moveable feast and needs to be kept on top of, highlighting changes in 2022.
What happens when you host your first in-person events in three years?
We've summarised a few magical moments and the behind-the-scenes effort that goes into hosting our in-person events that make it all worth it.
Hong Kong hedge fund fined HK$1.75mn by SFC for EU short selling breach
A Hong Kong hedge failed to make 155 notifications to the FCA and 153 disclosures to the public of its net short position in Premier Oil.
US Client Conference 2022: Key Takeaways
Our AMER client conference included innovative workshops, interactive sessions and an opportunity to connect to the fellow compliance professionals.
SEC: Changes to Private Fund Reporting for US Investment Advisers
On 10 August 2022, the SEC voted 3-2 to propose amendments to Form PF (‘the Form’). Read more about these regulatory updates that may affect you directly.
The EU’s MiCA - the ‘Mini-MiFID’
In late June, the Council presidency and the European Parliament reached provisional agreement to introduce the Markets in Crypto-assets (MiCA) directive.
Applying Expertise Beyond Regulatory Guidance
We explore how FundApps have established a regulatory framework for how an investment should or should not be included in a Shareholding Disclosure check.
Vendor Risks Financial Institutions are Facing in 2022
While having few vendors is logical, our blog provides some strong counter arguments as to why having a selection of strong vendors is the best way forward.