The Financial Report – Volume 5, No. 2 – January 2016 (Global)

IN THIS ISSUE •  Discussion and Analysis •  News from the Americas •  US Securities and Exchange Commission Developments •  US Commodity Futures Trading Commission Developments •  US Banking and Treasury Department Developments •  US Judicial Developments •  US Exchanges and Self-Regulatory Organizations •  News from Asia and the Pacific •  News from Europe •  […]

Evaluating Enterprise Risk For Alternative Investments

Enterprise risk includes all of the factors that can affect an enterprise: market factors, reputation, regulation, compliance, operations, and legal risk are among the most prominent. Enterprise risk analysis, which uses stress tests and scenario assessments to estimate investment risks across asset classes, has become increasing popular with institutional investors, who understand the impact enterprise risk can […]

New Year, Familiar Priorities: Investment Adviser Annual Reminders and SEC Examination Priorities in 2016

As 2016 gets underway, it is a good time for investment advisers  to review their compliance “to do” lists. With that in mind, we are providing this update to remind investment advisers about their annual compliance obligations and to highlight certain examination priorities, recently announced by the SEC’s Office of Compliance Inspections and Examinations (OCIE), […]

Automated trading faces new regulations

The CFTC has announced new plans on how to best regulate the growing dominance of automated trading Concern about the potential disruption by the use of algorithms in trading has forced regulators in the US to decide how best to rein in such automated trading. On November 24, 2015, the Commodity and Futures Trading Commission released a […]

Absolute Capital Launches Two New Mutual Funds

Pittsburgh, PA, January 25, 2016 –(– Absolute Capital has launched two new mutual funds which offer active management in response to changing market conditions. The strategies provide for market participation with a focus on risk management. The Absolute Capital Asset Allocator Fund and Absolute Capital Defender Fund are managed by the same team that has […]

Important Dates and Reminders for Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool Operators

Investment Advisers Annual Compliance Reviews All investment advisers registered with the Securities and Exchange Commission (“SEC”) or The Commonwealth of Massachusetts are required to review their compliance policies and procedures at least annually (and best practice is for any investment adviser, whether SEC or MA registered or not, to engage in such a review). Many […]

PF to be best debt investment in 2016 if rate hiked

The Employees’ Provident Fund Organisation (EPFO) has reportedly recommended an interest rate of 8.95% for the current financial year, up from 8.75% in the previous year. If the proposal is accepted, the Provident Fund will earn equivalent to 12.95% from a bank deposit or bond for subscribers in the highest 30.9% tax bracket (annual taxable […]

CFTC launches Whistleblower Program website

The US Commodity Futures Trading Commission (CFTC) has launched the CFTC Whistleblower Program’s new website,, which is designed to educate the public about the program and allow users to submit tips about potential violations of the Commodity Exchange Act (CEA) and apply for monetary awards.  The new website outlines whistleblower rights and protections and guides […]

Round Table Wealth Management Announces Appointment of Francis A. Hayes, Jr. as Director, Strategic Relationships

Round Table Wealth Management , a global wealth and investment management firm headquartered in Westfield, NJ, today announced the hiring of Francis A. Hayes, Jr., CFP as Director-Strategic Relationships. Mr. Hayes’ appointment underscores the firm’s commitment to raise the bar on the first-class wealth management, trust and advisory organization, they have already built. “Fran’s experience and proven […]

BNY Mellon kicks the tyres on enterprise risk data assumptions

As investors continue to boost their allocations to alternatives, how they address the issue of enterprise risk can have important consequences for the perceived risk within their portfolios, according to a new white paper from BNY Mellon. Enterprise risk analysis, including stress testing and scenario assessment, has become increasingly popular with institutional investors. But alternative […]