COMPLIANCE INSIGHTS

Stay on top of regulatory changes with risk and compliance news from Cordium's insights and articles.

Triggering Article 50: Cordium’s Viewpoint

As the UK Government prepares to trigger Article 50, Cordium’s Stephen Burke reviews the situation. We are now on the road to the Brexit and a bumpy one it will be.  Since the vote we have been urging clients to focus on building flexibility into their business...

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Cordium Asia Update – February 2017 News

The year of the rooster has welcomed a number of new initiatives in the Compliance and Risk space for Hong Kong managers. While we are still dealing with some indigestion from professional investor suitability, the New Year has started with a breakfast of...

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Spring Budget 2017

With the Brexit bill being amended in the Lords, a new and untested US President and uncertainty in politics across Europe, our post-Brexit world still seems to be heading into the unknown…

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MiFID II: The Final Countdown

February 14, 2017 MiFID II: The Final Countdown Firms should prepare for both obvious and overlooked challenges Bobby Johal, Management Consultant, Cordium   With only 11 months before MiFID II comes into effect, time is running out for hedge funds to get...

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FCA finalises AIFMD Annex IV scope increase to master funds.

February 13, 2017 Fund managers marketing their feeder funds in the UK will now be required to submit ‘transparency reports’ for associated master funds to the Financial Conduct Authority (FCA), subject to certain threshold criteria. The new rules will also...

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SEC Announces Examination Priorities for 2017

January 13, 2017 The U.S. Securities and Exchange Commission (“SEC”) has announced the Office of Compliance Inspections and Examinations (“OCIE”) 2017 examination priorities (“2017 Examination Priorities”) related to financial institutions including, among...

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Cordium Asia Update – January 2017

January 12, 2017 From Best Execution inward contemplation, the Fund Management Code of Conduct consultation and the Manager in Charge Regime updates by the SFC gave us plenty to think about at the end of 2016. The proposed enhancement to standards are nothing...

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SFC investigates Best Execution and Client Facilitation

January 12, 2017 Best Execution has hit the Securities and Futures Commission’s (SFC’s) agenda in its November 2016 consultative circular at the same time that Europe is updating its requirements through MiFID II. SFC appears to be aimed at general execution...

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