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Venki Subramaniam, Apex

Apex Fund Services secures ADGM licence

Fri, 08/09/2017 - 14:41

Apex Fund Services (Apex) has been granted official approval and licensing by the Financial Services Regulatory Authority (FSRA) of Abu Dhabi Global Market (AGDM) and has become one of the first Independent fund administrators approved  to carry out Regulated Activity in the jurisdiction. »

Reform of EU’s Solvency II rules for insurers may trigger surge in European listed real estate investment

Wed, 06/09/2017 - 09:53

Changing EU capital requirement rules for insurers so that listed real estate is treated like direct property investment could result in a sharp increase over time in investment flows to the industry from the continent’s largest pool of institutional capital, the CEO of the European Public Real Estate Association said at EPRA’s annual conference on Wednesday.   »

Assetz Capital secures full FCA authorisation

Tue, 05/09/2017 - 10:11

UK peer-to-peer platform Assetz Capital has received full authorisation from the UK regulator, the Financial Conduct Authority (FCA). »

Bermuda Monetary Authority winds up real estate investment fund for regulatory breaches

Fri, 11/08/2017 - 15:07

The Bermuda Monetary Authority (Authority) has successfully petitioned the Supreme Court of Bermuda to wind up Cumulus Eastern European Property Fund Limited (Cumulus) pursuant to section 36(1)(b) of the Investment Funds Act 2006 (the IFA) and the provisions of the Companies Act 1981. »

George Ralph, RFA

Why 2017 must be the year of compliance. Part 2: MiFID II

Thu, 10/08/2017 - 10:01

By George Ralph (pictured), RFA – If you hadn’t already got enough on the agenda for this year, MiFID II - Markets in Financial Instruments Directive II - and its accompanying regulation, Markets in Financial Instruments Regulation (MiFIR) are looming ever closer to their full implementation date of 3rd January 2018. That’s 23 weeks away. I don’t need to tell you that it’s not long at all. »

Regulations check-list

Why 2017 must be the year of compliance. Part 1: GDPR

Mon, 07/08/2017 - 08:28

By George Ralph, RFA - It’s August already, and 2017 is over half gone. There are two major pieces of legislation coming into effect in early 2018, which will affect alternative investment firms in the UK, and firms worldwide who are holding data on European citizens, or trading with firms in the EU. »

Julian Korek, Duff & Phelps

Financial Regulators targeting individuals not companies

Mon, 31/07/2017 - 10:17

Financial regulators across the globe are cracking down heavily on cases of individual misconduct, according to the 5th annual Global Enforcement Review published by the Compliance and Regulatory Consulting Practice of Duff & Phelps. »

George Ralph, RFA

Checklist for alternative investment start-ups

Thu, 13/07/2017 - 09:41

By George Ralph (pictured), RFA - 2017 is as good a time as any to be starting a new alternative investment firm, certainly better than it would have been a decade ago, but there are some key areas of focus that start-ups should be on top of. Here are some thoughts on how to help set your start-up to be successful: »

George Ralph, RFA

Why financial services, cybersecurity and regulatory compliance go hand in hand

Tue, 11/07/2017 - 13:01

By George Ralph (pictured), RFA Financial Cloud and Technology Services – It’s a widely held misconception that heavily regulated industries are the least agile, and the slowest to innovate. In the financial services sector particularly, there is a tendency to see compliance and responsibility as a barrier to success, when they should be seen as the essential foundation. »

George Ralph, RFA

Is RegTech the finance sector’s silver bullet?

Mon, 10/07/2017 - 08:50

By George Ralph (pictured), RFA Financial Cloud and Technology Services – The global financial crisis and subsequent recession happened almost a decade ago, but their legacy goes on and on, with more stringent regulations and bigger fines every year.  »


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