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Hedge Funds Face Compliance Hurdles of AIFMD 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 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 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? 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 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 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 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.