UK, Conflicts of Interest, Risk Management

FCA findings from smaller asset managers and alternatives business model review

A&O Shearman on 5/16/2025

The UK Financial Conduct Authority (FCA) has published findings of its review of smaller asset managers and alternatives business models, together with a press release. The review formed part of the FCA's alternatives...more

New Regulatory Priorities Spring Into Focus, April 2025 - The UK Regulator Sets Out Its Supervisory Priorities for the Asset...

Cadwalader, Wickersham & Taft LLP on 4/4/2025

On February 26, the UK’s Financial Conduct Authority (FCA) wrote to Chief Executives in the asset management and alternatives sector to set out their current supervision priorities (the Portfolio Letter)....more

UK FCA highlights areas for improvement in private market valuation processes

A&O Shearman on 3/13/2025

The UK Financial Conduct Authority (FCA) has published the findings of the multi-firm assessment of valuation practices and governance for valuing private equity, venture capital, private debt and infrastructure assets. The...more

FCA Findings on Private Market Valuations Stress Risk of Conflicts and Need for Independence

Skadden, Arps, Slate, Meagher & Flom LLP on 3/11/2025

On 5 March 2025, the FCA published its findings from its multi-firm assessment of governance and valuation practices within the private market sector (Review) along with a press release. The Review focused on firms operating...more

February 2025 Regulatory Round-Up

Akin Gump Strauss Hauer & Feld LLP on 2/28/2025

The Financial Conduct Authority (FCA) issued the latest Dear CEO Letter on 26th February 2025. In it, the FCA confirmed its current supervisory priorities, which include private markets, market integrity and disruption,...more

Bank of England Highlights Concerns With Private Equity Financing

Skadden, Arps, Slate, Meagher & Flom LLP on 5/29/2024

The Bank of England’s Financial Policy Committee (FPC) and the Prudential Regulation Authority (PRA) recently delivered a series of speeches1 raising their concerns about the evolution of private equity financing and the...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 8/31/2015

Non-Enforcement - Form PF — What Purpose? SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more

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