Proposed legislation could catapult EU ahead of US in whistleblower protection
July 2, 2018
Whistleblower protection laws usually come in the wake of corporate and accounting scandals.
US CFTC and UK regulator join forces to promote innovation in fintech
February 19, 2018
The UK Financial Conduct Authority (FCA) and the US Commodity Futures Trading Commission (CFTC) have signed an arrangement to collaborate and support innovative financial technology (fintech) firms through each other’s initiatives.
Legal implications of US elections cause uncertainty for multinational employers
November 21, 2016
As the political and economic implications of the 2016 US presidential elections begin to become clearer, multinational employers in the financial sector should consider some of the potential legal implications of the Trump presidency on both sides of the Atlantic.
Esma inches closer to extending AIFMD fund passports to non-EU alternative investment funds and managers
July 20, 2016
The European Securities Markets Authority (Esma) has issued its advice on the extension of the alternative investment fund managers' directive (AIFMD) passport to investment fund managers and investment funds based in 12 non-EU countries.
MFA and Aima join forces to criticise proposed SEC rule on derivatives use by hedge funds
April 7, 2016
The Managed Funds Association (MFA) and Alternative Investment Management Association (Aima) have raised concerns over a notionally based leverage limit in registered funds, including hedge funds.
Finra proposes new registration rule for algorithmic traders
February 22, 2016
The US Financial Industry Regulatory Authority (Finra) is proposing a rule to register traders responsible for the design, development and modification of algorithmic trading strategies.
Proposed SEC rule would limit use of derivatives by managed futures funds
December 23, 2015
A rule proposed by the US Securities and Exchange Commission (SEC) will limit the use of derivatives and leveraged transactions by investment funds, says law firm Pepper Hamilton.
CTAs face closer scrutiny from CFTC with proposed rule change and tougher insider trading enforcement
December 21, 2015
Commodity trading advisors (CTAs) face increased scrutiny as the US Commodity Futures Trading Commission (CFTC) pushes for new trading rules and settles its first insider trading case.
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