News

Citadel taps SEC director for CCO role

Chicago-based hedge fund giant brings in David Glockner to head compliance


Guggenheim Partners strongly defends compliance record in client letter

Correspondence to Sonoma County pension dismisses media reports of self-dealing as ‘false’

FCA delays senior managers regime to 2019

Regulatory relief for managers expecting compliance next year



Former CFA director launches Gips and ethics consulting firm

Jonathan Boersma starts Basis Point Solutions providing compliance consulting to asset managers


Ogier boosts senior Cayman hedge fund team

Law firm hires two new counsels


SEC censures advisers over F-Squared marketing failings

Regulator fined Ameriprise and two other firms for circulating F-Squared’s misleading hypothetical performance information


Intertrust to provide AIFM services from Luxembourg

Fund admin to offer ‘one stop shop’ following similar AIFM provision in Ireland


SEC enforcers look to ramp up exam referrals

Agencies look to boost self-reporting and whistleblowers


SEC fines Tiger Cub over confidential information sharing

Ratan Capital founder Nehal Chopra is fined $200,000


Dillon Eustace expands asset management team

Law firm adds three new partners across Dublin and New York


Third Point hires deputy CCO from Conatus Capital

Jana Tsilman joined Dan Loeb’s $17bn firm in November


US Treasury outlines regulation-cutting priorities

Counselor to the treasury secretary sets out Volcker rollback goals


Supreme Court case could narrow whistleblower protections

The court will hear argument on the scope of Dodd-Frank anti-retaliation provisions



SEC chair on HF compliance policies, Mifid II and cyber-security

SEC Chairman Jay Clayton has stressed there will be no let-up in the regulator’s scrutiny of hedge fund manager compliance


DMS launches US compliance service

Fund governance specialist expands regulatory offering


FCA accuses four asset managers of competition law breach

Statement of objectives issued to Artemis, Hargreave Hale, Newton and River and Mercantile


Garda Capital Partners taps Wayzata CCO

Patrick Shane joins fixed income manager as senior compliance director


CFTC sees further slump in enforcement actions and fines

Derivatives regulator follows SEC in reporting fall in penalties and number of cases