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Fund Managers Market Abuse

Goodwin

New Year, Similar Concerns: The FCA's 2025 Priorities for UK Private Fund Managers

Goodwin on

On 26 February 2025, the Financial Conduct Authority (FCA) published a portfolio letter (Letter) explaining its supervision priorities for the asset management and alternatives portfolios....more

McDermott Will & Emery

CLOs and Material Nonpublic Information: Key Takeaways from the SEC’s Settlement with Sound Point

McDermott Will & Emery on

In this alert, we present the key lessons to be learned from the U.S. Securities and Exchange Commission’s (the SEC) settlement with Sound Point Capital Management, LP (Sound Point), and discuss whether a similar enforcement...more

A&O Shearman

A&O Decision Report: Fund Manager Challenges FCA's Decision To Impose Prohibition Order

A&O Shearman on

In this decision report we consider the recent decision notice published by the FCA, in which the FCA detailed its reasons for proposing to impose a prohibition order on a fund manager. The Upper Tribunal previously held that...more

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