Category Archives: Compliance

K1 fund and related funds… the importance of due diligence

we have found the article linked below on yet another ponzi scheme, this time from Germany. The point being: due diligence matters! as always we will be happy to help of course. http://www.being-diligent.com/case-n-10-k1/

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Weavering… Liquidator sues the Administrator

As reported today in the Irish Independent, the liquidator has decided to go after the administrator. This is just reiterating the importance of  proper monitoring from all parties involved with asset managers. There should be processes and systems in place to monitor … Continue reading

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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

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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

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Happy New Year

New Year 2012

Posted in AIFMD, Alternative Investments, Compliance, Hedge Fund Portfolio Construction, Hedge Funds, Investors, Market Comments, Markets and Regulations, Pension Funds, Risk Metrics, Risk Reporting, UCITS, wealth management | Leave a comment

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

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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

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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

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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

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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

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