Regulation

AMF sympathetic to valuation challenges facing private equity

The Autorité des Marchés Financiers (AMF), the French regulator, has said it understands some small private equity firms may face challenges providing independent valuation of private assets as mandated under the Alternative Investment Fund Manage

Posted on: 06 Oct, 2014
Posted in: Regulation

EU regulators must learn lessons from EMIR when implementing SFT rules

EU regulators should learn from the experiences of the European Market Infrastructure Regulation (EMIR) and apply single sided reporting when it introduces reporting requirements for securities financing transactions (SFTs), the Alternative Invest

Posted on: 02 Oct, 2014
Posted in: Regulation

AIFMs wrongly assumed they could market to investors not in compliance with MiFID

An alarming number of alternative investment fund managers (AIFMs) had wrongly assumed they could market through the Alternative Investment Fund Managers Directive's (AIFMD) national private placement regimes and passport  to organisations and hig

Posted on: 02 Oct, 2014
Posted in: Regulation

Clarity required on reverse solicitation

Regulators in Europe need to provide private equity and other alternative investment managers with greater clarity about what constitutes reverse solicitation versus active marketing under the Alternative Investment Fund Managers Directive (AIFMD)

Posted on: 30 Sep, 2014
Posted in: Regulation

Central Bank of Ireland urges EU and US to harmonise regulatory reports

Regulators in the US and EU need to harmonise the data sets and methodologies required for filing Annex IV under the Alternative Investment Fund Managers Directive (AIFMD) and Form PF, and even push this issue to the G20, according to the Central

Posted on: 29 Sep, 2014
Posted in: Regulation

Fund managers' exit strategies from service providers still inadequate

Asset managers are still struggling to implement adequate exit strategies at their outsourced service providers despite the UK Financial Conduct Authority’s (FCA) tough stance on the issue.

Posted on: 29 Sep, 2014
Posted in: Regulation

CFTC harmonisation with SEC to have limited impact on JOBS Act take-up

The Commodity Futures Trading Commission’s (CFTC) decision to harmonise its rules governing advertising and general solicitation at alternative investment fund managers with those of the Securities and Exchange Commission (SEC) will have a limited

Posted on: 29 Sep, 2014
Posted in: Regulation

Monitoring of RAuM essential to ensure managers do not breach AIFMD reporting thresholds

Managers must continually monitor their Regulatory Assets under Management (RAuM) so as to ensure they do not inadvertently exceed the Annex IV reporting thresholds laid down in the Alternative Investment Fund Managers Directive (AIFMD).

Posted on: 25 Sep, 2014
Posted in: Regulation

Regulators must issue clarity on UTIs

European regulators must clarify which counterparty ought to produce the Unique Trade Identifier (UTI), an alphanumeric code designed to enable trade repositories to match trades with other repositories, if the

Posted on: 24 Sep, 2014
Posted in: Regulation

Annex IV preparations yet to begin for majority of managers

More than half of fund managers have yet to begin preparations for their Annex IV reporting obligations due to come into effect from January 31, 2015 under the Alternative Investment Fund Managers Directive (AIFMD), according to a survey by Cordiu

Posted on: 22 Sep, 2014
Posted in: Regulation

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