25 April 2017 Focus: Regulation Organisation: Santiago Exchange Type: General Country: Chile Bolsa de Santiago has announced that the Superintendencia de Valores y Seguros (SVS) has approved the demutualisation and new statutes of the Exchange. The Exchange will continue with the implementation of the new statutes within the next 60 days, including the regulations and…
24 April 2017 Focus: Short Selling Organisation: Financial Supervisory Authority (Iceland) Type: General Country: Iceland Link: https://goo.gl/sAJAJP The Financial Supervisory Authority of Iceland (FME) has published a Circular confirming submission of a bill proposing to implement EU Regulation 236/2012 on Short Selling and certain aspects of Credit Default Swaps to Parliament (Short Selling Regulation). The…
We are pleased to announce that we are taking part in the UK Department of International Trade’s RegTech trade mission to New York this week. This is the Department’s first RegTech trade mission to America and forms part of New York’s inaugural FinTech week that is being held between 24th and 28th April 2017. Hosted…
18 April 2017 Focus: Short Selling Organisation: Securities Commission (Malaysia) Type: General Country: Malaysia Link: https://goo.gl/QWXW5I The Securities Commission of Malaysia (SC) has approved new guidelines to allow the regulated short selling of corporate bonds in the Malaysian capital market. Under the new Guidelines on Regulated Short Selling of Corporate Bonds, Principal Dealers are now…
18 April 2017 Focus: Short Selling Organisation: Financial Supervisory Commission (Taiwan) Type: General Country: Taiwan Link: https://goo.gl/wR5y1a The Financial Supervisory Commission of Taiwan (FSC) has increased the maximum limit of short sale transactions per day from 20% of average daily trading volume of specific securities in the previous 30 business days to 30% of average…
We had more staff carry out Prince2 training this week. Senior Risk and Compliance Managers Jason Worthington and Amy Johnston spent a week learning all about the project management methodology and completing the written examination. Given the high standard set by Rosie last year, there was some pressure for Jason and Amy to achieve high…
We had our own version of the Great British Bake Off in the Funds-Axis office today as the team donned their aprons and tolled away in their kitchens to bring in some delicious treats to raise funds for Red Nose Day. While it was not initially shown, it was clear from the efforts of our…
We were proud to sponsor and exhibit at the International Fund Management Conference in London on the 8th and 9th March 2017. Not only was it the first time this event was held but it was also the first time we have had a stand at a major fund management conference, so we were excited…
Our UCITS IV and AIFMD Derivatives and Risk Management training course was held in London on the 1st March. Like the UCITS Investment and Borrowing Rules course there was strong demand for places amongst Funds-Axis clients and UK asset managers. We also had several people fly in from Europe to attend the training. Overall 19…
We held our first training course of the year on UCITS Investment and Borrowing Rules in London on the 28th February. There was strong interest in attending the course from our clients and a range of other fund managers across the UK. In total 23 delegates were in attendance. The course was facilitated by our…