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ManCo Risk

We talk a lot in the financial services industry about potential fines and/or enforcement action from non-compliance with regulation. What are the risks and what are the potential fines? From the point of view of a Management Company a key risk has to be a “blow-up” of a fund on the platform that can lead […]

December 7, 2017, by administrator

Annex IV Feedback

Annex IV – How was it for you? Fund managers affected by the EU’s Alternative Investment Fund Managers Directive (AIFMD) have been preparing for their Annex IV regulatory filing for some time now. For firms that obtained their Variation of Permission (VOP) which enabled them to operate as authorised AIFMs on AIFMD’s implementation deadline of […]

March 4, 2015, by administrator

Annex IV

As part of AIFMD the European Securities and Markets Authority (ESMA) has introduced compulsory reporting requirements commonly referred to as Annex IV. This will affect every single manager of an Alternative Investment Fund either based in the EU (or EEA) and/or marketing into member states. For the unaware Annex IV reporting is about to begin […]

October 7, 2014, by administrator

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ManCo Risk

Annex IV Feedback

Annex IV

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