FSA

Transparent private equity firms should not fear SEC fee clampdown

Private equity firms adhering to “best practices” and which are transparent should have nothing to fear from the US Securities and Exchange Commission’s (SEC) growing interest in the fees and expenses they charge limited partners (LPs).

Posted on: 05 Jun, 2014
Posted in: Regulation

FSOC proposals on SIFIs could hurt large asset managers

The proposals by the Financial Stability Oversight Council (FSOC), the US government agency mandated under Dodd-Frank to monitor systemic risk, to label some asset managers including hedge funds as “systemically important financial institutions” (

Posted on: 20 May, 2014
Posted in: Regulation

Greater clarity needed from FCA on what constitutes "substantive research"

The UK Financial Conduct Authority (FCA) needs to issue greater clarity about what constitutes “substantive research” following its announcement it will clamp down on asset managers’ use of client trading commissions on research costs.

Posted on: 19 May, 2014
Posted in: Regulation

COOConnect Summary of 2013: Part 4

Here is the fourth and penultimate instalment of COOConnect’s five part series summarising the key events to impact the hedge fund industry in 2013.

FCA gets tough on fees

Posted on: 18 Dec, 2013
Posted in: Investors

Odey warns on FCA clampdown on research expenditure

An excessive clampdown by the UK’s Financial Conduct Authority (FCA) on asset managers’ use of client trading commissions to buy research could be detrimental to performance, senior executives at Odey Asset Management have warned.

Posted on: 11 Nov, 2013
Posted in: Regulation

FCA indicates clampdown on research costs at asset managers

The UK’s Financial Conduct Authority (FCA) intends to crack down on asset managers’ use of client trading commissions on research costs.

Posted on: 30 Oct, 2013
Posted in: Regulation

Investors warming to outsourcing compliance but regulatory challenges remain, says KPMG

Institutional investors, historically wary of managers outsourcing their operations, are increasingly recognising the benefits of outsourcing regulatory compliance as the costs of these global rules continue to mount on small to mid-sized hedge fu

Posted on: 22 Oct, 2013
Posted in: Outsourcing

Manager boards to become more independent, predicts Barclays Wealth

Manager boards at hedge funds could become more independent as the UK’s Financial Conduct Authority (FCA) seeks to clamp down on potential conflicts of interest.

Posted on: 23 Jul, 2013
Posted in: Investors

UK managers should register as AIFMs no later than Q1 2014, says Cordium

UK hedge fund managers using the Financial Conduct Authority’s (FCA) one year transitional period to meet their AIFMD compliance obligations have been advised to register as AIFMs no later than the end of Q1 2014, according to Cordium, the complia

Posted on: 16 Jul, 2013
Posted in: Regulation

Amendments could be made to rules on facilitation payments in Bribery Act

The UK government is reportedly looking at watering down some of the more draconian elements of the 2010 Bribery Act – widely considered to be one the most rigorous pieces of anti-corruption legislation globally - in what could potentially ease co

Posted on: 29 May, 2013
Posted in: Regulation

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