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News & Commentary
Content tagged with Compliance posted in July 2014
Hedge Funds Face Compliance Hurdles of AIFMD
News  |  7/30/2014  | 
Alternative funds selling to European investors must meet ESMA's strict guidelines for trader reporting, risk controls, and valuations -- similar to SEC's Form PF.
Reputational Risk Drives Social Media Processes
News  |  7/28/2014  | 
In a recent study, reputational risk exceeded compliance as the top concern for financial services organizations with respect to social media.
Barclays Disputes NY Attorney General's Dark Pool Allegations
News  |  7/25/2014  | 
Asking a court to dismiss the NYAG's lawsuit, Barclays contends that highly sophisticated traders were not misled about high-frequency traders in its dark pool.
Initial Margin: When Does More Turn Out to Be Less?
Commentary  |  7/25/2014  | 
Changing margin regulations are set to affect the OTC derivative market, including initial margin risk models for non-cleared OTCs.
Surviving & Thriving in the Current Risk Management & Regulatory Environment
Commentary  |  7/23/2014  | 
How financial institutions can leverage compliance initiatives to improve their business with a 360-degree view of the customer.
Hedge Fund Readiness for AIFMD Is Lacking as Deadline Approaches
News  |  7/17/2014  | 
With the July 22 deadline looming, hedge funds are unprepared to meet the AIFMD data reporting requirements, and they worry about compliance costs, two studies say.
Compliance Technology: The Art of Playing Your Part
Commentary  |  7/14/2014  | 
Though the Dodd-Frank Act is four years old, only 52% of the rules have been completed, and less than one-third of financial firms feel they are prepared to meet the upcoming compliance challenges.


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