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Category Archives: Markets and Regulations
Weavering judgment: an alarm bell for NEDs
Last year judgement in the Cayman courts should still be resounding loud and clear in the mind of NEDs of hedge funds of course, but also of any Asset Management company. the AIFMD will likely hammer that point in further. These conclusions … Continue reading
Changes to Leverage Calculation for Collective Investment Schemes
the CSSF August newsletter clarifies what is expected from Collective Investment Schemes registered in Luxembourg for the calculation of leverage. it is now compulsory for all such funds to use the notional based approach for all derivatives. It is of … Continue reading
Posted in Compliance, Markets and Regulations, Risk Reporting, UCITS
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Extracts on the need to establish proper Risk Management Governance and keeping it up to date
We continue the publication of extracts of the ESMA AIFMD level 2 document released late November. We are happy to discuss further the implications of that document. feel free to contact us! AIFMD level 2 on the need to establish … Continue reading
AIFMD Level 2 – permanent risk management function
ESMA has released their comments on the AIFMD and we continue to release extracts that we find important and relevant to our area of focus: risk. as you will see, the AIFMD gives an important place to an independent permanent risk management … Continue reading
AIFMD – level 2- some high level principles
As some of you might probably be aware Level 2 for AIFMD has been released. We intend to publish extract we believe are the more relevant to our business and to the themes we have been promoting since we were … Continue reading
Suitability at the heart of the wealth management reform
Coutts is fined on comments from the FSA on suitability reminds of the necessity to research on documents investments, not only at inception but throughout its life
FSA Approval of directors: a note from the friendly OWL
Regulatory Guidance for Non-Executive Directors Objective The objective of the service is to assist NEDs to obtain the necessary FSA approval for their role, to enable NEDs to fulfil their responsibilities with skill and confidence and to reduce the risk … Continue reading
ESMA ‘threat’ to Remuneration Code
ESMA ‘threat’ to Remuneration Code You may well have seen comments recently about the likely impact of the AIFMD on the implementation of the Remuneration Code for asset managers. This is a question that should be getting rather more attention … Continue reading
note from OWL fresh from the FSA meeting last week
Suitability: reaction from the FSA meeting As those who were present will have heard, at the FSA’s Annual Public Meeting this morning, Margaret Cole showed that she was unable to answer a straight forward question about Suitability. When I asked … Continue reading
Posted in Compliance, Markets and Regulations
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Happy New Year
New Year 2012