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Global Investor Magazine

Regulation

  • December

    Ex-Robeco CEO to chair Dutch regulator 24 December 2009

    The Dutch regulator hires new chair

  • FSA opposes OTC standardisation plan 17 December 2009

    U.K.’s Financial Services Authority (FSA) has rejected the proposal to force “standardised” OTC contracts into clearing houses

  • Lawmakers seek OTC rules in finance bill 11 December 2009

    The U.S. House of Representatives has voted to include new rules for over-the-counter derivatives in a bill to revamp the financial regulatory system

  • New ICMA regional head in the Middle East 08 December 2009

    The International Capital Market Association (ICMA) has appointed Robert Mohamed as the new chairman for the ICMA Middle East, Far East and Africa region..

  • Barclays plans Aussie equities foray 07 December 2009

    Barclays Capital is seeking regulatory approval to launch equities trading for the first time in over a decade in the domestic market.

  • Singapore agrees to commodities exchange 03 December 2009

    The Singapore Mercantile Exchange has received “in principle” approval from the Monetary Authority of Singapore

  • CESR prepares money market fund standards 02 December 2009

    The Committee of European Securities Regulators’ recent consultation on proposals for pan-European definitions of money market funds paves the way towards a pan-European standard

  • November

    BNP Paribas securities services CEO exits 27 November 2009

    BNP Paribas has ousted the head of its custodial services division, Jacques-Philippe Marson

  • Sweden relaxes rules on alternatives 27 November 2009

    Sweden has proposed new rules to regulate hedge funds and private equity firms

  • EU softens view on hedge fund rules 26 November 2009

    Jean-Paul Gauzes, a French member of the European Parliament, has drafted a report to soften hedge fund regulations

  • FSA fines Nomura £1.75 million 25 November 2009

    The Financial Services Authority (FSA) has fined Nomura International Plc £1.75 million for widespread systems and controls failings around book marking within its International Equity Derivatives business.

  • SEC, CFTC settle hybrid products issue 23 November 2009

    SEC and CFTC have issued joint orders, clarifying their respective jurisdiction over hybrid financial products

  • GAM launches Star Global Rates 16 November 2009

    GAM has expanded its range of UCITS III funds to include an onshore version of its successful global macro interest rate and currency strategy.

  • Invesco to withdraw South African funds 16 November 2009

    Invesco Perpetual is de-registering its fund range in South Africa. The move is due to regulations, which will prevent Invesco from hiring different units of the same banking group as trustees and administrators.

  • Sebi allows mutual funds to trade on exchanges 16 November 2009

    The Securities and Exchange Board of India (Sebi) has agreed to allow mutual fund schemes to be transacted through brokers of stock exchanges.

  • EU may impose pay limits on hedge fund managers 12 November 2009

    The European Union is planning to enforce pay restrictions on hedge fund managers and private-equity firms.

  • SEC hires Cook as trading and markets director 12 November 2009

    US watchdog, the SEC has appointed Robert Cook as director of the agency’s Division of Trading and Markets.

  • Senator Dodd offers derivatives revamp 11 November 2009

    A new reform bill unveiled by Senator Christopher Dodd is planning to restructure the derivatives sector

  • Myners seeks onshore hedge fund regulations 10 November 2009

    The U.K. should create an onshore regulated hedge fund sector, according to Paul Myners.

  • Barney Frank plans OTC bill changes 05 November 2009

    Barney Frank, Chairman of US House Financial Services, is planning to alter his over-the-counter derivatives bill

  • Sweden plans to lift hedge fund leverage limit 05 November 2009

    Sweden has drafted a new proposal to remove a general limit on hedge funds’ leverage

  • Feature: A regulatory dare? 04 November 2009

    Efforts by the CFTC to regulate energy trading in the US is again exposing the divisions between regulators on either side of the Atlantic regarding how best to mediate the role of speculative investors in commodity markets.

  • AIMA backs registration of hedge fund managers 03 November 2009

    The AIMA has reiterated its support for the registration of hedge fund managers in the US and for the reporting of systemically relevant information by larger managers.

  • October

    SEC looks into sponsored access practice 28 October 2009

    The SEC is planning to scrutinize a practice called sponsored access as well as high frequency traders.

  • MiFID report: could do better 26 October 2009

    This month two years ago saw the launch of an ambitious regulatory framework that marked a turning point in the European financial services sector. But have MiFID’s means matched its ambition?

  • Mercer launches investment governance service 22 October 2009

    Mercer has launched an investment governance assessment service to help trustees review their investment governance arrangements and compliance.

  • Feature: A new code for banks 19 October 2009

    Global Investor's resident tax expert breaks down the recent banking tax code change in the UK.

  • Call for UK public pension reform 16 October 2009

    An informed debate is needed to look at ways of making public sector pensions more sustainable

  • Switzerland to beef up SBL rules 15 October 2009

    The Swiss market watchdog, FINMA has started a consultation period on its circular on repos and securities lending and borrowing.

  • September

    AIMA welcomes Open Europe findings 21 September 2009

    The Alternative Investment Management Association has welcomed the findings of a survey of its members.

  • Guest view: KID could fool investors 18 September 2009

    The “synthetic risk indicator” included in the EU’s proposed Key Information Document will lead to investors making inappropriate investment choices and suffering loss as a result, says Peter Ainsworth, managing director of EM Applications

  • India’s SREI to launch mutual funds 15 September 2009

    India’s SREI Infrastructure Finance has received approval from the Securities & Exchange Board of India (Sebi) to launch mutual fund operations in the country.

  • August

    Deloitte establishes integrated funds team 25 August 2009

    Deloitte, the business advisory firm, has established a specialist Funds Advisory team.

  • India's regulator alters mutual funds norms 20 August 2009

    The Securities and Exchange Board of India (Sebi) has asked mutual fund houses to charge exit loads only for the first year of investments.

  • FSA reviews non-Ucits retail fund rules 19 August 2009

    The Financial Services Authority (FSA) is planning to increase restrictions on non-Ucits retail schemes.

  • Malaysia launches commodity platform 17 August 2009

    Malaysia has launched the world's first end-to-end Shari'ah-compliant commodity trading platform.

  • July

    GI FX Forum Report: Regulation, counterparty risk dominates concerns 27 July 2009

    As part of a thought leadership series, The Bank of New York Mellon Corp sponsored the latest of Global Investor's Editorial Forums, to discuss the state of the FX markets after the credit crisis of recent months. Editor Caroline Allen, who chaired the discussion, wrote this report.

  • June

    Hedge funds assert their case 01 June 2009

    A wave of regulation following the initial impact of the global financial crisis has targeted the alternative investment sector, and hedge funds in particular. The industry is mobilising to influence and deflect some of the measures. Caroline Allen reports

  • A new job for the front office 01 June 2009

    Can stress testing and scenario analysis make a difference, asks Jem Tugwell, Vice President, Investment Manager at Odyssey Financial Technologies

  • A change for the better 01 June 2009

    On Tuesday 12 May, International Securities Finance magazine welcomed delegates and sponsors to its Central and Eastern Europe master class. The one day event brought together local banks, scholars, hedge funds, exchanges and asset managers to engage in thought provoking debate and discussion

  • Three pluses for the industry 01 June 2009

  • May

    Tax Corner 01 May 2009

    The latest budget released by the Chancellor of the Exchequer, Alistair Darling, announced a series of tax increases. Most notable were the changes to personal taxation affecting individuals earning in excess of £150,000.

  • The new trader 01 May 2009

    The need for a central counterparty (CCP) in the securities lending market has been a topic of conversation for the past 15 years, with nothing coming to pass. But over the past year, CCP initiatives have been popping up in Europe and the US. Craig MacDonald investigates why the industry is now finally ready for a CCP and how they all stack up.

  • March

    Credit Suisse Hedging Griffo sheds light on Brazil's hedge fund market 30 March 2009

    The Brazil based hedge fund manager, Credit Suisse Hedging-Griffo was instrumental in the launch of hedge funds in Brazil. Ian Hall speaks to the fund about its high profile joint venture with Credit Suisse, how the fund has preformed and its role in Brazil.

  • EquiLend, Pirum and Loanet are put to the test 30 March 2009

    In the second in the series of isf IT road test features, Ian Hall speaks to EquiLend, Pirum and Loanet about the post-trade and trading services they provide. Using actual user feedback, we ask the hard questions.

  • Hedge Fund Research's Kenneth Heinz crunches the numbers 30 March 2009

    Sifting through the financial media, you will be hard pressed to not find an article relating to hedge fund losses, redemptions and possible regulation. But to gauge true state of this industry, you must speak to the ones who track the funds. Ian Hall speaks to leading hedge fund industry data provider, Hedge Fund Research's President, Kenneth Heinz about his outlook for the hedge fund industry and what the numbers really say.

  • In the post 30 March 2009

  • Market analysis: Saudi Arabia 30 March 2009

    Removing mystery to realise returns

  • News in brief 30 March 2009

  • People in brief 30 March 2009

  • The return of the uptick rule? 30 March 2009

  • Investors look to dollar for safe haven 19 March 2009

    The dollar is likely to remain the main beneficiary of the crises affecting the euro and the yen, reclaiming its status as a safe haven currency, writes James Norris