Compliance
454 white papers and resources
Risk Library hosts a number of compliance white papers and analysis reports by leading experts. Use the information resource for the latest industry developments and to ensure that your organisation meets all financial regulatory requirements. Compliance means conforming to a set of best practice controls set by the organisation or externally, by governments and non-governmental bodies. They are enforced usually through management processes that identify, assess and initiate relevant corrective action each time these laws, policies, regulations, contracts or strategies are broken.
Regulating the financial markets and institutions - who, how and why?
This note discusses the need to regulate financial markets and institutions, the benefits and costs of this regulation, and whether regulation needs to be undertaken by public/government agencies or can be left to private entities.
Investment companies and charges of misconduct
Set within the context of the decision clearing John Pottage of misconduct in carrying out his CF3 and CF8 functions when CEO at UBS Wealth Management (UK) Limited and UBS AG, this white paper sets out some key points to note for regulated firms and their senior management and compliance staff.
Private Equity Legal Update – May 2012
This white paper provides a round-up of corporate and company law developments, plus highlights of legal developments from other practice areas relevant to private equity.
Financial institutions at risk
Issues under consideration in this white paper include the regulatory landscape, guidance on hidden relationships and networks, and how to identify them. It looks at why financial institutions need to address these problems, and the roles of personnel and technology in the effort to combat money…
Competition law compliance by portfolio companies – what should private equity firms be doing?
A number of recent developments have highlighted the potential exposure of private equity firms to competition law risks as a result of the activities of their portfolio companies. This white paper looks at what private equity firms need to watch out for and how they can minimise the risks that…
Investment Funds - What has happened and what may be to come
This white paper summarises developments affecting the investment funds industry from 2011 and looks at key issues for 2012. This will be of relevance to managers and investors in a wide range of alternative asset investment funds.
Clawback of dividends by the SFO – implications for investors
In early 2012, the SFO sent a warning when it obtained obtained a civil recovery order under the POCA 2002 enabling it to claw back dividends from a shareholder of a company convicted of a criminal offence. This white paper details the actions that private equity firms are, or should, be taking.
Investment Funds – Guidance on duties of independent directors of investment funds
The Weavering judgment gives very specific examples of the ways in which the directors of an investment fund were held to have failed to fulfil their duties and sets out important guidelines for fund directors.
Move annual reporting into the 21st century
Despite being so important, the process to create the Annual Report is still stuck in the middle ages, with companies using a time consuming and error prone manual approach. This paper discusses the issues/risks involved and the solutions available for an automated approach to producing vital…
Disguised remuneration and its impact on carried interest and co-investment arrangements
2011's Finance Act introduced far-reaching anti-avoidance provisions referred to as the disguised remuneration rules. These rules could potential apply to the acquisition of and returns from carried interest or an interest in a co-invest vehicle.