Impact of Brexit: UK, EU And Non-EU Alternative Fund Managers Are Unlikely To Be Significantly Adversely Affected Jul11

Posted by & filed under Compliance, Hedge Fund Marketing, Regulatory, White Papers/ Thought Pieces.

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The full impact of Brexit for the alternative funds sector will not be known for some time. But in this article we argue that UK, EU and non-EU alternative fund managers are unlikely to be significantly adversely affected and that even in a worst case scenario there will be relatively straightforward work-arounds

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CFTC Orders London-Based Barclays Bank PLC to Pay a $560,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swaps Positions Jul6

Posted by & filed under Compliance.

CFTC

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Barclays Bank PLC (Barclays) for failing to submit accurate large trader reports (LTRs) for physical commodity swap positions, in violation of Section 4s(f) of the Commodity Exchange Act (CEA) and CFTC Regulations 20.4, 20.6, and 20.7. Barclays is headquartered in London and has been provisionally registered with the CFTC as a Swap Dealer since December 12, 2012

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SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans Jun30

Posted by & filed under Compliance.

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The Securities and Exchange Commission today proposed a new rule that would require registered investment advisers to adopt and implement written business continuity and transition plans. The proposed rule is designed to ensure that investment advisers have plans in place to address operational and other risks related to a significant disruption in the adviser’s operations in order to minimize client and investor harm

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What Investors Will Ask During an Operational Due Diligence Exam Apr26

Posted by & filed under Compliance, Hedge Fund Investors, White Papers/ Thought Pieces.

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Michael V. Merrigan, Founder & Managing Member Shadmoor Advisors LLC contributes the following post. Shadmoor Advisors will be one of the specialists hosting a table at our Table Talks event in New York on May 2nd. As we approach the event we will be featuring white papers from our various specialists.   Beyond Valuation, Compliance &

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