Industry White Papers
Delve into practical solutions and best practices that can help organisations stay ahead in the increasingly complex regulatory environment.
Modernizing Shareholding Disclosures: Navigating Regulatory Evolutions in Asset Management
Investment firms in the United States are bound by a regulatory framework that mandates transparency, particularly in the disclosure of significant ownership stakes. This transparency is crucial for the integrity of financial markets, enabling investors to make informed decisions. Sections 13(d), 13(g), and 13(h) of the Securities Exchange Act of 1934, along with Section 13(f), lay the foundation for this disclosure regime.
Read moreUnderstanding Form PF Amendments: Implications for Large Hedge Fund Advisers
On May 3, 2023, the SEC adopted a final rule amending Form PF. The final rule amendments apply to large hedge fund advisers, having at least $1.5 billion in relevant AUM; private equity fund advisers, having at least $150 million in relevant AUM; and large private equity fund advisers, having at least $2 billion in relevant AUM.
Read moreFund Liquidity Risk Control: Emerging Risks and Regulations Revisited
Liquidity risk remains a defining driver of risk in financial markets. The tightening of financial conditions globally has weighed on economic activity, while inflation remains very high. Structural vulnerabilities expose markets and participants to the risk that shocks to markets could be amplified by liquidity supply and demand imbalances.
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