Tag: securities

Blockchain tech successfully piloted by Allianz Risk Transfer and Nephila

Blockchain technology successfully piloted by Allianz Risk Transfer and Nephila for catastrophe swapSmart contract technology facilitates and accelerates the triggering process of catastrophe swaps...

The latest trends of the European Alternative UCITS industry

“The European alternative UCITS industry has been growing since the third iteration of the UCITS (Undertakings for Collective Investment in Transferable Securities) directive came...

Regulation Systems Compliance and Integrity

In March 2013, the Securities and Exchange Commission (SEC) proposed new rules designed to strengthen the technology infrastructure of certain participants in U.S. securities...

Lead Auditors Must Rotate – Or Pay Fine

The Public Company Accounting Oversight Board (PCAOB) — a non-profit corporation created by the Sarbanes-Oxley Act of 2002 — was established to oversee accounting...

Keeping Custodians Clean

One of the salient regulatory rules to emerge from the Dodd-Frank Wall Street Reform Act was the “custody rule” mandating that an investment adviser...

“Marking The Close” – A Prohibited Practice

“Marking The Close” is a technique of purchasing a security at the very end of the trading day — often within minutes of the...

“Stock Analyzer” Marketing Led to Securities Violation

A Florida securities firm owner operated two websites through which he offered by subscription a “stock analyzer” touted as utilizing mathematical algorithms to identify...

Six Agencies Approve Final Risk Retention Rule

Six federal agencies have approved the final rule requiring sponsors of securitization transactions to retain risk in those transactions. The rule is an implementation...

Broken Engagement? SEC uses data against advisers

Much hype has surrounded the outreach efforts of the Securities and Exchange Commission (SEC) to “engage” the private fund industry. The campaign supposedly is...

Failure to Supervise Branch Leads to Sanctions

An Ohio securities firm has been fined and its owner-president suspended over findings by the Financial Industry Regulatory Authority, Inc. (FINRA) of inadequate branch...

Fixed Income Arbitrage Defined

 Apart from the many investment strategies define previously, Fixed Income Arbitrage is another move used by institutional traders. It is particularly popular with Hedge...

FICC To Expand Tri-Party Regulation

In 2003, the U.S. government founded the Fixed Income Clearing Corporation (FICC) to oversee confirmation, settlement and delivery of fixed-income assets in the United...

Guide to Research on Hedge Funds: Part 5: The Differences between...

Sometimes people use the terms hedge funds and mutual funds interchangeably, which is incorrect as they have some marked differences between them.  First, let’s...

Equity Long-Short Defined

Equity Long-Short Defined Understanding the financial and investment market requires some knowledge of basic principles of buying and selling securities. There are a number of...

T+2 Deadline Looms

Following the 2008 financial crisis, the European Commission (EC) enacted new regulations affecting the way National Central Securities Depositories (CSDs) conduct their business. As...

Guide to research on Hedge Funds: Part 2 Essentials

Hedge funds can be categorized, not only according to the investment strategies used by them, but by the different types of the funds as...

SEC: Hedge Fund Manager at Center of Fraud Scheme

A hedge fund manager who was charged by the Securities and Exchange Commission (SEC ) in 2012 with defrauding clients around the world —...

Hedge Funds sue for $539 million in interest

In May, Argentina’s Economy Minister met with officials of the Paris Club to sign the largest sovereign debt restructuring agreement in history. After defaulting...

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...
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