How to become a compliance influencer
14.04.2025 – Articles
Nine practical steps chief compliance officers can take to move away from the department of no and instead lead people towards good behaviours.
Topics
18 results for "Regulation"
A token of appreciation
24.03.2025 – Articles
There’s a lot of talk and excitement around tokenisation, but has it meaningfully materialised in private markets?
An IR team built for today and tomorrow
11.12.2024 – Articles
Karen Sands, COO of Federated Hermes Private Equity has transformed the firm’s IR team over the past 12 months, growing headcount from 1.6 to six FTEs, with a mix of skill sets, experience, professional qualifications and seniority. We spoke to Sands to find out how she did it and the impact it’s had so far.
How to valuations
26.11.2024 – Articles
Exploring how the regulatory landscape is evolving when it comes to valuations, focusing on the intrinsic complexities of valuing privately held assets
How to AML
19.11.2024 – Articles
Anti-money laundering regulations have powerfully ramped up in recent years. But given the persistently tough fundraising conditions, often pushing funds towards non-institutional investors and new jurisdictions, keeping on top of AML rules is becoming increasingly difficult.
How to SDR
13.11.2024 – Articles
Zeroing in on key SDR sticking points for UK funds and the parts of SDR firms are still in the process of implementing.
How to DORA
07.11.2024 – Articles
With the implementation date of the EU’s Digital Operational Resilience Act (DORA) fast approaching on the 17th of January 2025, private equity firms are grappling with how to comply with the rules.
How to AIFMD II
04.11.2024 – Articles
Coming into force on April 16, 2026, AIFMD II aims to raise standards in the private capital fund industry. Here we dig into the most complex and cumbersome updates.
Tearing down the wall
29.10.2024 – Articles
Unlocking the operational constraints of raising non-institutional capital and managing liquidity requirements.
Horizon scanning
28.10.2024 – Articles
The latest thinking from the CSSF and the FCA on private capital markets’ rules.
Independence day
03.09.2024 – Articles
The deal by deal strategy is red hot right now, and it’s growing popularity provides important reminders for the traditional funds industry.
Adjustment needed
27.08.2024 – Articles
As the implementation period for ESMA’s ESG-related fund name guidelines begins, ratings agency Sustainable Fitch finds 11% of rated entities don’t meet minimum safeguards
The first act
12.08.2024 – Articles
The European Union’s AI Act landed on August 1st 2024; where and how does financial services feature?
Living on the edge
25.07.2024 – Articles
According to new research, more than a third of private capital fund managers admit to a last-minute approach to handling regulatory changes.
Raising European capital: do the benefits of a marketing passport outweigh the cost?
23.07.2024 – Contributors
Exploring how non-EU funds can be effectively distributed in Europe, the impact of this from a legal/regulatory perspective and the cost differences between electing to use a passported Luxembourg based fund solution and marketing a non-EU fund under Article 42 of AIFMD.
How AI regulation is shaping up in the UK and Europe
18.07.2024 – Articles
And what to look out for in private capital markets.
Transatlantic regulatory roundup: differences in SEC and FCA regulation of fund advisers
18.07.2024 – Contributors
Comparing and contrasting how the SEC and FCA supervise and regulate fund advisers
Compliance meeting notes – July 2024
12.07.2024 – Articles
Rounding up key regulatory and compliance developments to support your monthly compliance agenda.