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REGULATORY/LEGAL

Hong Kong a Friendlier Place for Hedge Funds
By Angela Pasceri, Financial Correspondent
06/07/2006 1:40:09 PM ET

HONG KONG (HedgeWorld.com)—Hong Kong's recently adopted ordinance to exempt from taxation offshore funds drew more a sigh of relief from the hedge fund industry than a joyous celebration.
Where Was U.S. SEC as Trouble Festered at Chinese Firms?
By Reuters
07/11/2011 3:35:00 PM ET

NEW YORK (Reuters)—Alarmed by widening accounting debacles at U.S.-listed Chinese companies, American regulators are scrambling to stem the damage from gaps in laws adopted to protect investors after the Enron scandal a decade ago.
Advisers Would Rather Pay Than be Policed by FINRA
By Reuters
01/21/2011 11:08:43 AM ET

NEW YORK (Reuters)—Investment advisers would rather pay fees for closer supervision by U.S. securities regulators than come under the authority of the brokerage industry's watchdog, FINRA.
CFTC May Start out Slow and Easy on Commodity Limits
By Reuters
12/14/2010 2:47:03 PM ET

WASHINGTON (Reuters)—U.S. futures regulators will unveil this week a broad framework for controlling speculation in commodity markets but will likely delay imposing detailed limits in the face of industry concerns that trading volumes would dry up.
Singapore Prepares to Tighten Rules for Hedge Funds: Sources
By Reuters
10/19/2009 12:06:56 PM ET

SINGAPORE (Reuters)—Singapore is preparing to tighten regulations for hedge funds and other alternative fund managers, potentially making it more difficult and expensive for smaller newcomers to set up operations, sources said. Fund managers in Singapore with fewer than 30 "accredited" investors are currently exempt from holding a capital markets services license, freeing top managers from requirements such as filing certain reports to regulators and passing examinations set here.
FSB's Draghi Says Seize Moment to Boost Bank Rules
By Reuters
04/27/2009 3:27:53 PM ET

WASHINGTON (Reuters)—Signs of stability in the global economy and a pickup in confidence offer policy-makers a chance to strengthen the global financial system, Financial Stability Board chairman Mario Draghi said on Saturday [April 25]. "In the last several weeks we have witnessed a modest revival in market confidence," Mr.
SEC Seeks Info on Side Pocket Misuse
By Chidem Kurdas, New York Bureau Chief
11/08/2006 12:15:53 PM ET

NEW YORK (HedgeWorld.com)—The Securities and Exchange Commission is looking for people to tell it about side pocket abuse at hedge funds. An attorney working for the SEC wanted to talk to hedge funds that know about other hedge funds that are sticking under-performing assets into side pockets, said Susan Mangiero, a managing member of BVA LLC, a provider of valuation, risk management and litigation-related services.
Japan Hedge Funds Seek U.S. Distribution Solutions
By Angela Pasceri, Financial Correspondent
11/08/2006 11:56:50 AM ET

TOKYO (HedgeWorld.com)—As the Japanese economy is awakening from its slumber. Japanese hedge fund managers, along with other Asia-Pacific managers, are tuning into heightened interest in the Asia growth story from U.
Dubai Aims to Become Global Funds Center
By Angela Pasceri, Financial Correspondent
07/19/2006 4:07:43 PM ET

DUBAI, United Arab Emirates (HedgeWorld.com)—Dubai's recently enacted Collective Investment Law establishes the Dubai International Financial Centre as an operating environment for the managed funds industry, with the aim of having 20% of the world's funds domiciled there.
Client Identification Emerges as Regulatory Hot Button
By Chidem Kurdas, New York Bureau Chief
05/31/2006 11:34:08 AM ET

NEW YORK (HedgeWorld.com)—An enforcement action by the U.S. Securities and Exchange Commission against a broker-dealer illustrates an issue that may in the future confront hedge funds.
New Rules May Affect Japanese Investing
By Chidem Kurdas, New York Bureau Chief
05/24/2006 10:28:04 AM ET

NEW YORK (HedgeWorld.com)—Questions remain as Japan begins to implement the bank standards known Basel II, the new international framework that is meant to enhance sensitivity to various risks in measuring the adequacy of a bank's capital.
Global financial watchdog calls for FX fix reforms, urges banks to clean up
By Reuters
07/15/2014 12:44:18 PM ET

LONDON (Reuters)—The world's top financial regulator on Tuesday [July 15] urged deep-rooted change to how currency benchmarks are set, encouraging market players to tighten up their governance, practices and controls rather than imposing stringent new regulation. The proposals come in response to allegations being investigated by regulators that dealers at major banks colluded and manipulated key reference rates in the $5.
Regulators lack data to probe shadow banking sector
By Reuters
05/02/2014 12:51:58 PM ET

LONDON (Reuters)—Shining a light on the murky $70 trillion world of "shadow banking" is proving tricky for regulators handicapped by too little data and under pressure to boost economic growth, and this means risks may be escaping proper scrutiny. Shadow banking, a term which annoys the sector because of its pejorative connotation, ranges from money market funds and repurchase agreements to special investment vehicles, hedge funds and securities lending.
Hong Kong to review rules around alternative liquidity pools
By Reuters
02/27/2014 2:12:48 PM ET

HONG KONG (Reuters)—Hong Kong will launch a consultation period concerning future regulation of dark pool trading networks, the territory's securities regulator said on Thursday [Feb. 27].
DOJ probes finance firms' dealings with Libya
By Reuters
02/03/2014 12:21:20 PM ET

WASHINGTON (Reuters)—The U.S. Department of Justice is investigating banks, private equity firms and hedge funds that may have violated anti-bribery laws in their dealings with Libya's government-run investment fund, The Wall Street Journal reported, citing people familiar with the matter.
EU bank trading plan stops short of U.S. Volcker rule
By Reuters
01/06/2014 1:16:20 PM ET

LONDON (Reuters)—Banks in the European Union face limits on taking market bets with their own money under a draft EU proposal that represents a central plank of attempts to prevent a repeat of the financial crisis of 2007 to 2009. Policymakers want to rein in excessive trading risks in the EU banking sector, whose assets total some €43 trillion ($59 trillion), that could threaten depositors if trades go wrong and potentially put taxpayers on the hook in a rescue.
Banks pay for past sins as U.S., Europe levy record fines
By Reuters
12/24/2013 11:07:46 AM ET

LONDON (Reuters)—U.S. and European regulators fined banks record amounts this year, imposing penalties and settlements of more than $43 billion as authorities work more closely across borders to clean up the financial sector.
U.S. permits some foreign swaps rules, EU still unhappy
By Reuters
12/23/2013 12:23:13 PM ET

WASHINGTON (Reuters)—The United States granted foreign banks a reprieve from some of its new rules for risky derivatives, putting itself on a collision course with overseas regulators who want more reliance on home-country rules. The U.
U.S. spat looms with foreign regulators over swap rules
By Reuters
12/20/2013 12:18:45 PM ET

WASHINGTON (Reuters)—The United States is on a collision course with regulators abroad as it plans to force foreign banks to comply with a host of new rules for risky derivatives, two sources close to the European Union said on Friday [Dec. 20].
CFTC set to declare overseas swaps rules inadequate: report
By Reuters
12/17/2013 1:30:29 PM ET

WASHINGTON (Reuters)—The Commodities Futures Trading Commission (CFTC) is set to force overseas financial firms to comply with its set of rules governing swaps, saying that the multiple rules developed by overseas regulators were not strict enough, the Wall Street Journal reported, citing an official familiar with the process. The U.






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