Rosie is a Director and has been with Funds-Axis for 10 years. She heads up the Relationships team and has a Law degree from the University of Aberdeen. She is an Associate of the Chartered Institute for Securities and Investment.
Pieter joined Funds-Axis in 2013 and manages the Regulatory Research team. He has a particular specialist focus on shareholder disclosures, as well as fund regulations including PRIIPs, UCITS and AIFMD. Pieter has a Law Degree, LPC Diploma and LLM in Globalisation and Law specialising in Corporate and Commercial Law.
Darren is the founder and Managing Director of Funds-Axis. He has 20 years financial services and fund management experience, including Big 4 Accountancy firms & leading depositary banks. He has specialist, industry-leading knowledge of the UCITS and AIFMD requirements.
On 22nd October 2020, the European Commission (EC) published the much anticipated consultation on the Alternative Investment Fund Managers Directive (AIFMD).
On 20th October 2020, the Central Bank of Ireland (CBI) published a letter to all UCITS management companies, authorised Alternative Investment Fund Managers (AIFMs), self-managed UCITS investment companies and internally managed Alternative Investment Funds which are authorised AIFMs. The letter…
Last month it was great to see a number of key liquidity developments finally enter into force, including: ESMA’s new guidelines on liquidity stress testing in UCITS and AIFs, The FCA’s new rules for certain open-ended funds investing in inherently…
Yesterday, the Financial Conduct Authority (FCA) fined a Hong Kong hedge fund just over £870,000 for failing to disclosure its net short position in Premier Oil Plc. This is the first time the FCA has taken enforcement action for a…
With the FCA derivative use reporting deadline fast approaching, it’s the perfect time to discuss the reporting requirements and how Fund-Axis can assist you in making your filings. In 2016, the UK Financial Conduct Authority (FCA) made changes to its…
The Canadian Securities Administrators (CSA) has published guidance to help investment fund managers (IFMs) develop and maintain effective liquidity risk management (LRM) frameworks for investment funds.
On 22nd October 2020, the European Commission (EC) published the much anticipated consultation…
On 20th October 2020, the Central Bank of Ireland (CBI) published a letter…
Last month it was great to see a number of key liquidity developments…
Yesterday, the Financial Conduct Authority (FCA) fined a Hong Kong hedge fund just…
The big month of liquidity finally arrived where we saw a number of…
With the FCA derivative use reporting deadline fast approaching, it’s the perfect time…
The Canadian Securities Administrators (CSA) has published guidance to help investment fund managers…
The 30 September compliance deadline is fast approaching for a number of liquidity…
It’s been almost a year since the FCA Assessment of Value rules came…
All eyes may be on the month ahead as we enter the final…
Of all the new regulations we have seen over the last few years,…
As discussed in our previous blog , ESMA has written to the European…
When the European Commission announced back in March 2018, a proposal to amend…
Last week, ESMA published a letter to the Commission setting out 19 key…
The U.S. Securities and Exchange Commission (SEC) recently proposed significant modifications to the…
Last Friday (14th August) was the Q2 filing deadline for 13F reporting. But…
Although the regulatory responses to COVID-19 have begun to slow, the past month…
On 2nd September 2019, the European Securities and Markets Authority (ESMA) published its…
Last week we took a brief look at the liquidity risk management regime…
Although liquidity risk management practices vary in different jurisdictions, in most cases, asset…
This month’s regulatory round-up pulls together some interesting regulatory developments we have tracked…
This month marked one year since the collapse of Neil Woodford’s LF Woodford…
ESMA recently published a supervisory briefing on the supervision by National Competent Authorities…
As discussed in previous blogs, later this year new FCA rules for open-ended…
On 31 March 2020, the European Securities and Markets Authority (ESMA) announced that…
Money market funds (MMFs) are an important part of the European and global…
The European Securities and Markets Authority (ESMA) has published a supervisory briefing on…
The new Japan foreign investment rules were fully implemented on 7th June after…
Liquidity risk was amplified by the COVID-19 pandemic with regulators introducing a number…
This month’s regulatory round-up, pulls together some of the interesting regulatory developments we…
Fund liquidity problems witnessed in 2019 with Woodford and H2O Asset Management brought…
With the recent market volatility caused by the COVID-19 pandemic, regulators across the…
With over 100 developments tracked in the last month on ATLAS Funds Training,…
Under the FCA’s Asset Management Market Study, the final report of which was…
On 30th October 2018, following the opinion issued by the European Securities and…
This month’s briefing covers the latest developments impacting asset managers in the wake…
It seems that ‘liquidity risk’ is the prevalent term on everyone’s lips these…
As our company responds to COVID-19, the health and safety of our employees…
Firms must have appropriate systems, controls and governance to oversee and manage liquidity…
We were at Trinity College Dublin this week for Adminovate 2020. Now in…
With the Christmas period almost upon us, we would like to take the…
A number of key regulators including ESMA, the CBI and the FCA have…
While the FCA’s Assessment of Value (AoV) process is a new development in…
Fund liquidity, like a mirage in the desert, can disappear in an instant…
Whilst UK AFMs are currently busily engaged in the FCA Assessment of Value…
The FCA’s terminology is FCA Assessment of Value, a shift from the earlier…
In this, the second of our series on FCA Assessment of Value, we…
Performance of the FCA Assessment of Value process will be a significant challenge…
Today we attended this year’s autumn careers fair at the University of Ulster…
Closet trackers, also known as closet indexing or index hugging, refers to the…
It was another busy week for us this week that included attending an…
We are delighted to announce that we have partnered with AlphaWeek which is…
Funds-Axis, a provider of investment compliance, risk and regulatory reporting solutions to the…
Our Director Rosie is spending 3 days in Luxembourg this week as we…
Funds-Axis are among three companies shortlisted for the One to Watch Award, part…
We are delighted to have been selected to take part in the UK…
This week we spent a few days in Paris meeting with existing clients…
As we approach Christmas and the end of 2018, we would like to…
Following 4 years of consultations and several minor revisions, the Monetary Authority of…
The Funds-Axis Fund RunNURS are pleased to have raised over £800 for @CashforKidsNI and @NIHospice.…
Funds-Axis have attended a number of recruitment fairs in the last few weeks.…
We were delighted to once again be sponsoring a finance course at Queen’s…
On Friday we held our first company town hall event at our Belfast…
We are delighted to announce the creation of 29 new jobs with the…
Datactics, an award-winning provider of data quality and fuzzy matching software, is today…
We believe it is important that staff continually receive training to ensure they…
Our fundraising efforts continued yesterday in glorious sunshine when our team of volunteers…
We are pleased to announce that we are taking part in the UK…
We had more staff carry out Prince2 training this week. Senior Risk and…
We had our own version of the Great British Bake Off in the…
We were proud to sponsor and exhibit at the International Fund Management Conference…
Our UCITS IV and AIFMD Derivatives and Risk Management training course was held…
We held our first training course of the year on UCITS Investment and…
At Funds-Axis we think it is important to provide university students with the…
Our team at Funds-Axis towers has been growing significantly over the past year…
We have been selected as one of only four companies to take part in…
We are keen for staff to undertake training that would be beneficial to…
At Funds-Axis we are keen to encourage young people to achieve the best…
We are heading to New York this week as part of Invest Northern…
Fund managers are having to deal with an increasing amount of regulation which…
We would like to thank all of our clients for your ongoing support…
We are pleased to announce that we have got our first Canadian client;…
