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The IMS Group is a market leading provider of regulatory compliance consulting and integrated business support to the asset management and securities industry. All of IMS's services have been developed in response to our clients’ needs for practical solutions to their business needs. With offices in London, New York, Boston and San Francisco, IMS supports more than 700 investment businesses.

We are a client led, not product based business. We understand that even firms which operate in the same field of business have their own style, objectives and culture. We therefore take a flexible approach in responding to clients’ needs, whilst at the same time operating within a disciplined framework.

We are totally committed to matching our skills and expertise to the most rigorous of client service standards. We owe our success to this commitment.

HedgeOp Compliance LLC merges with The IMS Group

In January 2012 HedgeOp Compliance LLC, the leading provider of specialised compliance software and consulting services for investment advisers in the US headed up by Founder and CEO Bill Mulligan, merged with IMS.

Please click here for more info.

Compliance & Legal Associate (Hedge Fund)

This multi-billion dollar US headquartered hedge fund is looking to hire an Associate to work closely with their European Head of Compliance & Legal in the London office.

Compliance Manager (Hedge Fund)

This successful hedge fund is looking to hire a Compliance Manager to join their firm.

Reporting to the CFO/COO this role will involve taking responsibility for all compliance issues for the firm including (but not limited to):

Compliance Induction for Private Equity firms - 18.05 2012

18-05-2012 - 18-05-2012

Course Overview:

This course gives a solid overview of the UK regulatory regime and the material regulatory obligations that arise at UK regulated PE firms. The course is followed by a 1hr test to assess the delegates understanding of the topics covered.

Course Objectives:

Attendance on this course will enable you to:

Understand the principle FSA requirements for PE firms
Understand how your firm’s policies, procedures, systems and controls have been developed in order to address the regulatory obligations relevant to the firm
Identify the correct support resources available for specific issues

Key Topics:

The FSA & EU Regulatory environment
High Level Business Standards
Personal Obligations
Conduct of Business Rules- Clients
Conduct of Business Rules – Investment and Trading
Regulatory Reporting and Record Keeping
Financial Crime

Course aimed for: For staff and senior management working in a UK regulated Private Equity firm

Duration: One day

Venue: IMS offices

Price: £700 + VAT per delegate payable in advance

Maximum numbers: 15

Cancellation Policy: If you cancel your place giving less than 2 weeks’ notice the full attendance fee will not be refunded. However, you may send a colleague to attend in your place if you feel satisfied that they will benefit from the course

If you would like to speak to someone about our education and training services please contact Peter.Moore@theimsgroup.co.uk">Peter Moore +44 (0)207 408 2448. Alternatively, to view further details on future open course dates, please click on Training Dates.

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Anti-Money Laundering - 25.05.2012

25-05-2012 - 25-05-2012

Course Overview:

Firms must provide training on this important subject to relevant staff at periodic intervals. AML is also a key area to be covered for new staff.

This course provides a complete background to what money laundering is, the requirements of the anti-money laundering regime and the resulting obligations for firms and individuals

Course Objectives:

Attendance on this course will enable you to:

Explain what money laundering is
Describe the key components of the current anti-money laundering regime
Summarise the key systems and controls needs within a firm
Describe potential money laundering situations
Explain the role of the Money Laundering Reporting Officer (MLRO)

Key topics:

Definition, money laundering stages and related themes
International obligations, Proceeds of Crime Act 2002and other related UK legislation, industry (“JMLSG”) guidance, FSA rules, expectations and past actions
Risk based approach, customer due diligence, on-going monitoring, staff training/awareness, record keeping and suspicious transaction reporting
Offences and penalties
MLRO role and enforcement cases

Course aimed for: Anyone working in a financial services regulated firm

Duration: 90 minutes

Venue: IMS premises

Price: £200 + VAT per delegate payable in advance.

Maximum numbers: 15

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Market Abuse - 25.05.2012

25-05-2012 - 25-05-2012

Course Overview:

This course will assist both employees and firms to identify, manage and mitigate Market Abuse risk

Course Objectives:

Attendance on this course will enable you to:

Ensure you have a good understanding of the type of conduct prohibited under the Market Abuse regime
Understand how your firm’s policies and procedures have been designed to prevent Market Abuse
Understand the practical controls put in place by your firm to reduce the risk of Market Abuse occurring

Key Topics

Scene Setting: FSA Statutory Objectives, Thematic reviews, Penalties, Legislation & Guidance
Market Abuse definition
Market Abuse Offences
Suspicious Transaction Reports (STR’s)
Practical Controls
Topical issues

Course aimed for: Anyone working in a financial services regulated firm

Duration: 2 hours

Venue: IMS offices

Price: £300 + VAT per delegate payable in advance.

However, if you wish to attend Anti-Money Laundering session as well as the Market Abuse session, scheduled to run on the same day, a discounted price can be offered at a total cost of £400 + VAT per delegate for both sessions.

Maximum numbers: 15

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The FSA's expectations of Significant Influence Holders at authorised firms: too high a price?

14th May 2012

SIF Responsibilities

For a number of years the FSA have been seeking to pursue the approach to enforcement of punishing senior management for failings within a regulated firm in addition to or even instead of the firm itself.

IMS Asset Management and Securities Regulatory Newsletter, April 2012

4th May 2012

In the introduction to our last newsletter, we highlighted how the FSA had recently taken enforcement action against several past holders of the CF10 (Compliance oversight) function.

CASS NAV - FSA requires resolution packs to lead them to the location of client money

2nd May 2012

Last month the FSA published Policy Statement 12/6 which outlined its new requirement for firms authorised to hold client monies and assets, to prepare CASS resolution packs.

Trading venues under MiFID II - will I be operating an organised trading facility?

24th April 2012

"Regulated Markets" (RMs), "Multi-lateral Trading Facilities" (MTFs) and "Systematic Internalisers" (SIs). These were among the most scrutinised technical jargon of the first Markets in Financial Instruments Directive (MIFID) which was implemented in the UK in November 2007.

The IMS Group enters into joint venture with Eukleia Training

Press Release, 17th April 2012

The IMS Group has entered into a joint venture with Eukleia Training (Eukleia), a global compliance training company, to deliver a full suite of compliance training courses tailored for the alternative asset management sector.

The IMS Group handed third award in a month

Press Release: 5th April 2012

The IMS Group ('IMS'), the leading regulation and compliance consultancy, has been named 'Best regulation and compliance adviser' in the HFM Week Awards for the second year running.

The IMS Group awarded second accolade in a month

The IMS Group ('IMS'), the leading regulation and compliance consultancy, has been named "Best Regulatory Consultancy" in the 2012 Hedge Fund Journal Awards for the fourth year running. This comes only two weeks after IMS was also named as 'Best European Regulatory Advisory Firm' at the third annual Hedgeweek Awards.

Reduced to clear: the implications of EMIR and Dodd-Frank for asset managers dealing in OTC derivatives

With the European Securities and Markets Authority ("ESMA") currently consulting on technical standards to finalise the European Market Infrastructure Regulation ("EMIR"), and the impending implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (referred to herein as "Dodd-Frank") in the US, the central clearing of most Over-the-Counter ("OTC") derivatives is set to become mandatory on both sides of the Atlantic.

Speculation about position limits: a brief Q&A on some of the EU's MiFID II proposals for commodities trading

Position limits have been hotly debated in the legal and regulatory press in recent months. This short Q&A provides a legalese free overview aimed at a commodities desk at the coal face of this proposed regulatory change.

IMS Regulatory Newsletter, February 2012

Since our last newsletter, the FSA has taken enforcement action against several past holders of the CF10 (Compliance oversight) function. These enforcement notices are essential reading for all persons registered in the CF10 function and also anyone that works with or for such a person.

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