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Category Archives: Markets and Regulations
Our friends at OWL comment on Suitability
The Suitability Standard If you have not received the FSA’s Dear CEO letter on its wealth management review, you are either lucky or have an incompetent postman. Those who are not so fortunate would be unwise to ignore the obvious … Continue reading
Europe, Regulations and Hedge Funds… It is time to make plans, the clocks are ticking
Europe, Regulations and Hedge Funds… It is time to make plans, the clocks are ticking UCITS, AIFMD, Private Placement rules in Europe are very topical subject at the moment. And many people find it quite a daunting task to try … Continue reading
Posted in Alternative Investments, Compliance, Hedge Funds, Investors, Markets and Regulations, UCITS
Tagged compliance, hedge funds, liquidity, regulators, UCITS
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A quick view on Solvency 2
From really bad to a bit better but still…. Solvency 2 is about the regulatory capital Insurance companies have to put against their investments portfolio that back up their potential liabilities. Hedge Funds are classified as “Equities” as far as riskiness is … Continue reading
OWL quick note on SEC registration
Among other fine articles in FTfm this Monday, you will have noticed Countdown to Registration, which deals with the obligation for most investment managers in this country to obtain SEC registration by mid-July. Understandably, there is a great deal of … Continue reading
Posted in Compliance, Markets and Regulations, Uncategorized
Tagged compliance, hedge funds, regulators, SEC
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UCITS Upgraded – Could this be a genuine benefit from the EU?
UCITS Upgraded – Could this be a genuine benefit from the EU? Aware that I am even more Euro-sceptical than most, it is really quite rare for me to suggest that an EU action might genuinely provide a benefit, either … Continue reading
The Remuneration Code – the policy is now clear
The Remuneration Code – the policy is now clear Few will be unaware that the Remuneration Code, originating from G20, codified by the European Commission and enacted by the FSA, is about to strike. The European directive – CRD3 – … Continue reading
Posted in Markets and Regulations
Tagged compliance, regulations, remuneration, remuneration code
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Implementing the Remuneration Code
To be implemented by Jan 1st It is no surprise really that CP10/19 has received more attention than the FSA’s other eighteen consultation papers this year put together. Remuneration is a big issue and a political hot potato into which … Continue reading
Posted in Markets and Regulations
Tagged compliance, hedge funds, regulators, remuneration, remuneration code
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Implementing the Stewardship Code
Heard of the Stewardship Code? The prize for the least well sign-posted rule change must surely go to the FSA’s work on the Stewardship Code. Indeed so obscure was the FSA’s publication of the new rule, that the probability must … Continue reading
Posted in Markets and Regulations
Tagged compliance, hedge funds, regulations, stewardship code
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Lessons from the Financial Crisis
Recent markets developments and the answers public authorities and regulators have so far given to the challenges they pause certainly create cause for concerns and reflexion on the sources of the crisis, the financial system, the pertinence of the behaviour … Continue reading
Posted in Markets and Regulations
Tagged banks, credit products, financial crisis, hedge funds, regulators, risk, structured credit
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Confession of a Risk Manager
In August 2008, the Economist printed an article called “Confessions of a Risk Manager”. We have taken some key points out, hopefully for the reader’s benefit. Expect the unlikely: “The possibility that liquidity could suddenly dry up was always a … Continue reading
Posted in Markets and Regulations, Risk Reporting
Tagged extreme markets, risk, stress test
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