[Podcast] Unlocking the Potential of Alternative Markets with HighVista Strategies’ Raphi Schorr
[Podcast] Scoping Out Secondaries with Portfolio Advisors' Liz Campbell
Basics of Impact Investing: A Conversation About Investment Policies and Evaluation Metrics For ESG Investors
Podcast: Federal Court Rejects Mutual Fund Fee Claims and Recognizes Market Realities
Insider Trading News - Ralph Siciliano discusses US v. Newman
A review of fund and portfolio managers found a number of good practices, but also revealed the need for improvement in areas such as conflict management. On 5 March 2025, the FCA published the findings from its review...more
Introduction - NAV facilities operate by taking a portfolio of assets owned by a borrower and selecting which assets within that portfolio a lender is willing to lend against. This pool of approved assets becomes the...more
Many chief compliance officers struggle every year with preparing the annual review required under Advisers Act Rule 206(4)-7. To help you out, here’s our guide to writing your annual report....more
In our previous alert AIFMD II (Near) Final Text Agreed: What’s New? and in our recent update in our Horizon Scan, we noted that the Council of the European Union (EU) had published the final compromise amending text setting...more
The US Securities and Exchange Commission (SEC) Division of Examinations recently released its 2024 Examinations Priorities, a yearly report that provides insight into the Division’s areas of focus to improve compliance,...more
Who may be interested: Registered Investment Companies, Registered Investment Advisers - Quick Take: The staff of the SEC’s Division of Examinations (Staff) recently issued a risk alert (Alert) addressing the status of...more
So far, 2022 has been a rough year for portfolio management. The war in Ukraine, China’s zero tolerance for COVID-19, 40-year inflation highs, and rising interest rates have created significant market volatility....more
The U.K. Financial Conduct Authority has published a report on its review of how firms in the asset management sector selected and used risk modelling and other portfolio management tools. The review was undertaken to assess...more
On September 22, 2015, the Securities and Exchange Commission (“SEC”) proposed a new rule and amendments to rules and reporting forms under the Investment Company Act of 1940 (the “1940 Act”), designed to standardize...more