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Fund Managers Risk Management Financial Services Industry

Latham & Watkins LLP

FCA Publishes Findings on Private Market Valuation Practices

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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

Conyers

Insurance and Asset Managers in the Cayman Islands: A Perfect Marriage?

Conyers on

The significant growth in life & annuity reinsurance in the Cayman Islands has showed no signs of slowing in the past few years and a material ingredient of this growth is Cayman reinsurers sponsored by large private equity /...more

Carey Olsen

Fund Finance Laws and Regulations 2025: Assessing Lender Risk in Fund Finance Markets (GLI chapter)

Carey Olsen on

Carey Olsen have contributed to the Global Legal Insights – Fund Finance guide by authoring a chapter on assessing lender risk in fund finance markets. As the fund finance market continues to evolve, lenders will need to...more

A&O Shearman

DORA: Get ready, get set, take action

A&O Shearman on

The Digital Operational Resilience Act 2022/2554 (DORA) is a European regulation that will come into force on January 17, 2025. The regulation aims to strengthen the digital operational resilience of the financial sector...more

Seward & Kissel LLP

Multi-Strat Funds: Structuring Considerations

Seward & Kissel LLP on

In a typical multi-strategy fund (“Multi-Strat”), a fund structure is established by an investment manager (the “Investment Manager”) that runs multiple investment strategy portfolios within it, oftentimes with different...more

Goodwin

The Remaining New Financial Promotion Rules for UK Private Fund Managers: Less Than a Month Away

Goodwin on

In a previous client alert (New Risk Warning Rules for UK Private Fund Managers: Action Required), we discussed the rules governing the main risk warnings for financial promotions of high-risk investments, which came into...more

Goodwin

New Risk Warning Rules For UK Private Fund Managers: Action Required

Goodwin on

In our previous client alert, we mentioned the need for managers to review new rules contained in PS22/10, published by the UK Financial Conduct Authority (FCA). The rules governing the main risk warnings for financial...more

UB Greensfelder LLP

[Webinar] FINRA 2021: What to Expect - February 24th, 2:00 pm - 3:00 pm EST

UB Greensfelder LLP on

Join Ulmer partners Alan M. Wolper and Michael A. Gross as they address hot topics, including recent rule changes, exam priorities, and other FINRA developments....more

UB Greensfelder LLP

[Webinar] Data Protection & Cybersecurity Challenges for Financial Institutions in 2021 - February 17th, 2:00 pm - 3:00 pm EST

UB Greensfelder LLP on

Join Frances Floriano Goins and Laura J. Shaw, Associate General Counsel from KeyBank, NA, as they review the myriad regulatory schemes that govern data protection for financial services providers, keying in on both newly...more

UB Greensfelder LLP

[Webinar] SEC Update: Reg BI, Enforcement Activity, and the Willfulness Standard - February 11th, 2:00 pm - 3:00 pm EST

UB Greensfelder LLP on

Join Heidi E. VonderHeide as she discusses how Regulation Best Interest is being implemented, examines post-effective date guidance and activity by the regulators, and shares what to expect during 2021 exams. Heidi will also...more

UB Greensfelder LLP

[Webinar] FINRA Expungement: Rule Changes and Updates - February 9th, 2:00 pm - 2:30 pm EST

UB Greensfelder LLP on

Join Christopher D. Seps as he discusses the rule changes that recently took effect related to FINRA’s expungement process, as well as proposed changes that will likely be approved and take effect in 2021. These changes...more

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