Fund managers urged to have responses to regulatory enforcement actions in place

Private funds should have a strategic response plan in place to deal with any potential regulatory enforcement action, according to Cordium, a compliance consultancy

Posted on: 27 Oct, 2014
Posted in: Operational Risk

Fund managers warned on Russia sanctions compliance

Sanctions compliance has historically been a relatively straightforward exercise, mainly because the targeted markets were either not functioning or attractive, so their appeal was predictably limited for even the most adventurous asset managers.

Posted on: 12 Sep, 2014
Posted in: Operations

Worrying thoughts about the role of collateral in the global financial system

Why are regulators increasing the demand for eligible collateral while simultaneously constricting its supply? Centralised clearing of swaps through cash collateral-hungry central counterparty clearing houses (CCPs), the planned clearing of stock loan, the shrinkage of the scope for market participants to net the collateral demands they face, and new capital adequacy measures favouring the highest quality assets are all increasing the demand for eligible collateral.

AIFMD delays frustrating albeit manageable, survey shows

AIFMD delays are frustrating hedge funds but most managers appear to be taking it in their stride, according to a survey by IMS, the compliance consultancy.

Posted on: 25 Jul, 2012
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