Suspicious Financial Transactions – If You See Something, Say Something Nov3

Posted by & filed under Compliance, Regulatory.


By following the money trail, law enforcement can identify and dismantle international criminal networks, seizing the networks’ proceeds and related assets. ICE, along with other Department of Homeland Security component agencies, is charged with protecting the nation’s borders. One way ICE does this is by investigating the illicit flow of money in and out of the United States.

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Impact of Brexit: UK, EU And Non-EU Alternative Fund Managers Are Unlikely To Be Significantly Adversely Affected Jul11

Posted by & filed under Compliance, Hedge Fund Marketing, Regulatory, White Papers/ Thought Pieces.


The full impact of Brexit for the alternative funds sector will not be known for some time. But in this article we argue that UK, EU and non-EU alternative fund managers are unlikely to be significantly adversely affected and that even in a worst case scenario there will be relatively straightforward work-arounds

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CFTC Orders London-Based Barclays Bank PLC to Pay a $560,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swaps Positions Jul6

Posted by & filed under Compliance.


The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Barclays Bank PLC (Barclays) for failing to submit accurate large trader reports (LTRs) for physical commodity swap positions, in violation of Section 4s(f) of the Commodity Exchange Act (CEA) and CFTC Regulations 20.4, 20.6, and 20.7. Barclays is headquartered in London and has been provisionally registered with the CFTC as a Swap Dealer since December 12, 2012

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