News

Experts surprised as SEC plans fresh derivatives rule

Mutual fund regulation is back on the agency’s agenda


SEC names Axa Equitable pro for NY exams role

Maurya Keating to join the regional exam program later this month

Bain Capital GC Sean Doherty to retire at year end

Ropes & Gray’s Christopher Green to assume GC role in September



Halcyon hires compliance officer from Aviva Life

Alex Arnold joins in London


Elvinger Hoss opens New York office

Ex-Allen & Overy pro to head new office


AQR general counsel moves to Morgan, Lewis & Bockius

Brendan Kalb had worked at Cliff Asness’ quant firm since its earliest days


City Financial CCO/GC Ellenbogen departs   

Firm splits dual role; Dallas McGillivray appointed compliance chief


Mishcon De Reya funds, financial services head to depart

London-based Tim Flood to retire after four years 


BTG spin-out Amia Capital hires Omni compliance pro

Stephen Stokes joins EM/macro manager as first CCO in London


Volcker loosening could allow smaller banks to invest in hedge funds

Fed plan would allow the smallest banks to take ownership stakes in managers no behalf of their clients


Duff & Phelps announces new unit following Kroll acquisition

Reg consultant adds governance, risk, investigations and disputes business


Optima taps former ACA partner Alan Halfenger as consulting partner

Former Bain Capital CCO joins the firm’s New York office


SEC fines 13 private fund advisers for filing infractions

Seven hedge funds charged with repeatedly failing to file Form PF




Winton, PwC compliance pro joins Linden Advisors

Eirk Beelman takes senior compliance officer role  


Ogier hires Carey Olsen pro as managing associate

Oliver Quarmby joins Ogier’s Guernsey funds and private equity team


LindenGrove hires ex-Kairos, Privium pro as first CCO

Matthew Rae joins global macro manager in London


FCA vetting of senior managers hits five-hear high

FOI request reveals 33% increase in interviews last year


Singapore enhances short-selling regime

Some shorts to be disclosed to the MAS for first time