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Upskilling compliance, trust in AI and enforcement discussed at roundtable
Compliance professionals wrestled with current challenges at the latest Hedge Funds Global Relay event in London.
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The undercover hedge funds financing activist short sellers
When Wall Street’s self-styled financial detectives allege malfeasance, these silent partners stand to reap the benefits.
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FCA takes Bluecrest redress scheme case back to court after tribunal rebuke
Regulator argues judges made errors in deciding to block its plans.
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Consumer Duty, bundling, reporting and DORA discussed at compliance roundtable
Rumors addressed included the SEC being active in London and a crackdown on illegal marketing.
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New Jersey asset management firm CCO pleads guilty to $401m fraud
With SEC and DOJ charges pending, we examine the case and assess the implications of the CCO’s characterization as a gatekeeper.
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Compliance roundtable discussion tackles devil in the detail
Compliance professionals wrestled with current challenges at the latest Global Relay roundtable event in London.
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The debt-fuelled bet on US Treasuries that’s scaring regulators
Policymakers are concerned about the huge leverage that hedge funds are employing as part of the so-called basis trade.
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SEC unveils new private fund reforms – scope and best compliance practice
Reforms bring several significant requirements applicable to private fund managers, including non-US based advisers and exempt reporting advisers.