SEC publishes Form PF data

Private funds’ Regulatory Assets under Management (RAuM) totals $8.8 trillion, of which hedge  funds and private equity vehicles comprise $4.04 trillion and $1.9 trillion respectively, according to the Securities and Exchange Commission’s (SEC) an

Posted on: 19 Aug, 2014
Posted in: Regulation

Buy-side struggling to report collateral data to repositories on bilateral derivatives trades

The buy-side is struggling to report details of the collateral of their non-clearable derivatives transactions as mandated under the European Market Infrastructure Regulation (EMIR).

Posted on: 18 Aug, 2014
Posted in: Regulation

SEC commences examinations of liquid alternative funds

The Securities and Exchange Commission (SEC) has begun its long-awaited sweep examinations of alternative mutual funds  

Posted on: 14 Aug, 2014
Posted in: Regulation

FCA getting tougher on market abuse

The UK’s Financial Conduct Authority (FCA) issued fines of more than £346.3 million for market abuse related breaches in 2013, according to research by Kinetic Partners, the regulatory compliance consultancy.

Posted on: 07 Aug, 2014
Posted in: Regulation

Central Bank of Ireland re-affirms rules on depositary-lites

The Central Bank of Ireland (CBI) has re-affirmed that depositary-lites providing cash-flow monitoring and oversight will not be regulated amid concerns this laissez-faire approach could backfire.

Posted on: 31 Jul, 2014
Posted in: Regulation

RAuM methodologies in Annex IV and Form PF could lead to fund managers being dubbed SIFIs

The reporting methodologies for Regulatory Assets under Management (RAuM) at fund managers used by Form PF in the US and Annex IV under the Alternative Investment Fund Managers Directive (AIFMD) could result in regulators imposing bank-style rules

Posted on: 30 Jul, 2014
Posted in: Regulation

US managers "reluctantly embracing" AIFMD

US fund managers are “reluctantly embracing” the Alternative Investment Fund Managers Directive (AIFMD) as question marks are increasingly raised about the viability of reverse solicitation, according to Dechert.

Posted on: 23 Jul, 2014
Posted in: Regulation

Organisations comment on AIFMD going live

With the go-live date of 22 July having arrived and the rules now coming into effect, many organisations have released statements regarding AIFMD which can be seen below. 

Posted on: 23 Jul, 2014
Posted in: Regulation

Compliance shortfall at managers with AIFMD, finds BNY Mellon study

There is a significant compliance shortfall among managers with the Alternative Investment Fund Managers Directive (AIFMD), which is due to be implemented today, according to a study by BNY Mellon in conjunction with FTI Consulting.

Posted on: 22 Jul, 2014
Posted in: Regulation

Bulk of sub-threshold managers seeking to become AIFMs

The overwhelming majority of sub-threshold managers are electing to become AIFMs under the Alternative Investment Fund Managers Directive (AIFMD), which comes into effect tomorrow.

Posted on: 21 Jul, 2014
Posted in: Regulation


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