Tag: compliance

FinTech, Blockchain, Smart Contracts and Regulation – An interview with legal...

FinTech, Blockchain, Smart Contracts and Regulation – An interview with legal experts Sean Murphy and Imogen Garner  What does Brexit mean for London Fintechs? What...

FinTech Digital Alternative Investments Fund Management Solutions

FinTech Alternative Investments Digital Fund Management solutions. The ability to manage and extract value using solid and secure software such as fund management solutions from the right financial...

The importance of Compliance for FinTechs

It might not be sexy, but not adhering to the rules is not an option, regardless the size of an organisation. Jochen Heussner from...

Blockchain Huge Potential for The Insurance Industry

Blockchain Holds Huge Potential for Wholesale Insurance: New Z/Yen and PwC Report The total worth of Bitcoin today in the blockchain is circa 0.025% of...

New DueDil feature takes the pain out of company compliance

·      Ownership Tab gathers together corporate governance data, including shareholders and related companies ·      Feature automates time-consuming manual processes, uncovering connections linking businesses and directors DueDil,...

An Introduction to Bitcoin and Cryptocurrencies Regulation Part 1

An Introduction to Bitcoin and Cryptocurrencies Regulation. Part 1. This is a post by Jochen Heussner. Jochen is a qualified lawyer and has been working in the...

How Do Hedge Funds Manage Compliance?

Hedge Fund managers are often called Investment Advisors as well. Because of the advisory role they play in guiding and counseling institutional investors, by...

The Directions for the Hedge Fund Industry

The Directions for the Hedge Fund Industry - Opportunity(ies) in the face of adversity, innovation, regulation and Disruption! #Gaim2015 Are Hedge Funds managing close to 5%...

Challenges Faced by Hedge Fund Managers

Creating a Sustainable Infrastructure Many emerging fund managers enter the hedge fund business thinking that the most challenging thing they will have to do is...

Hedge Funds: Constant Vetting Required

by Timothy Mohr, Principal & National Financial Services Advisory leader, BDO Consulting The hedge fund industry is undergoing a period of immense and rapid change....

Top 3 Social Media Compliance Tools for Asset Managers

Social networks have become one of the most dominant forces in marketing in the last decade. While it may still be a powerful tool,...

Financial and Fund Industry Viewpoint: Interview with Michelle Carroll, Partner, Financial...

In today's still fragile environment of recovering economies and financial markets, it is extremely important for a business world to have a reliable and...

AIMFD: EU Hedge Fund Regulation

AIFMD: EU HEDGE FUND REGULATION The EU’s Alternative Investment Fund Managers Directive (AIFMD), which became effective at the state level in July 2013, has had...

Hedge Fund Due Diligence

What are today’s investors demanding of their hedge funds? Aside from exceptional financial returns, there is an increasing tendency to hold fund management accountable...

Hedge Funds and Tax Developments

The new budget for the year 2015 signals an increase in the tax on businesses. The most important proposal is for investment partnerships that...

Volcker Rule, Risk-taking and Compliance as New Future

On December 10, 2013, five U.S. agencies jointly issued the Volcker Rule, a rule mandated by the Dodd-Frank Wall Street Reform Act (“Dodd-Frank”) to...

Implementing an Effective Compliance Program

Introduction As an integral part of an overall internal risk management procedure, your compliance program should at a minimum: identify the regulatory risks affecting your company, determine...

The cost of regulatory non-compliance today? Try $2.3 billion!

What do American banks Citigroup and JPMorgan Chase have in common with their European counterparts Deutsche Bank, Royal Bank of Scotland, Barclays, and several...

FCA sets outlines for social media-based financial promotions

    Financial promotions over social media platforms are a matter of much contemplation since the past few months. While more companies want to take advantage...