Regulation

Latest

Brexit & AML Directives: We’ve Now Left The EU, But Have You Read The Small Print?

Gibraltar Modernises Limited Partnerships Law For Booming Funds Industry

Isle of Man Financial Services Authority Publishes Perimeter Guidance On Crypto Assets And Tokens

HedgeThink - October 16, 2020

Investors Seek to Reverse SEC Rule to “Turn Back the Clock” on Shareholders’ Progress on Climate and Inequality

4 Mistakes Many College Students Make & How to Prevent Them

Regulation

‘Bad Actor’ Granted Hedge Fund Waiver – For Now

David Kinnear - December 11, 2014

Regulation

Jury: Swiss Banker Not Guilty of Aiding Tax Evasion

David Kinnear - November 19, 2014

Regulation

Bank’s Forex Legal Woes Could Hit $5.9 Billion

David Kinnear - November 18, 2014

Regulation

FCPA: $7.5 Million Bribe Yields $14.4 Million Fine

David Kinnear - November 17, 2014

Regulation

Cherry-Picking Season for Hedge Funds

David Kinnear - November 14, 2014

Regulation

Harsh Rules Yield October Surprise For Hedge Funds

David Kinnear - November 13, 2014

Regulation

Growing demand for procurement transparency drives momentum for diliger

HedgeThink - November 12, 2014

Regulation

CFTC OCR: New Day, New Rules, New Forms for Traders

David Kinnear - November 12, 2014

Regulation

Lead Auditors Must Rotate – Or Pay Fine

David Kinnear - November 11, 2014

Regulation

Keeping Custodians Clean

David Kinnear - November 10, 2014

Regulation

The FCA on Social Media

Chris Turner - November 8, 2014

Regulation

“Marking The Close” – A Prohibited Practice

David Kinnear - November 7, 2014

Regulation

“Stock Analyzer” Marketing Led to Securities Violation

David Kinnear - November 5, 2014

Regulation

Six Agencies Approve Final Risk Retention Rule

David Kinnear - November 4, 2014

Regulation

Broken Engagement? SEC uses data against advisers

David Kinnear - November 3, 2014

Regulation

Failure to Supervise Branch Leads to Sanctions

David Kinnear - October 30, 2014

Regulation

Tax Inversion Hedge Fund Fiascos

David Kinnear - October 29, 2014

Regulation

FICC To Expand Tri-Party Regulation

David Kinnear - October 28, 2014

Regulation

“Accredited Investor” Test Under Review

David Kinnear - October 27, 2014

Regulation

SEC Fines Former Hedge Fund Manager $358 Million

David Kinnear - October 24, 2014

Regulation

SEC: Penny Stock Gatekeeper Violations

David Kinnear - October 23, 2014

Regulation

Hedge Fund Managers May See Change Performance Based Compensation

HedgeThink - October 21, 2014

Regulation

Enhanced Investor Protection? It’s In The Cards

David Kinnear - October 20, 2014

Regulation

MSRB Confabs with SEC and FINRA

David Kinnear - October 16, 2014

Regulation

Fincen Uncovers Casino’s Bank Secrecy Act Crimes

David Kinnear - October 14, 2014

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