Operational Risk Due Diligence

MMS RSL introduces a new operational due diligence process that can provide the touchstones of transparency and assurance sought by today's investors.
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Intensive supervision

The FSA warns of an increasing focus on the conduct of senior management and approved persons.
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US regulation and registration for UK Managers

Are you prepared for the Registration Act?
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Transaction reporting

A regulatory update and reminder of the requirements for Investment Managers.
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Liquidity: Strengthening Standards

The FSA introduces detailed liquidity requirements.
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Reforming remuneration practices

The FSA has introduced a new code which will require the largest firms to establish and implement remuneration polices.
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Approved Persons Regime: Significant Influence Review

Enhancements to the Approved persons regime widen the scope of individuals subject to regulatory scrutiny.
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Business Continuity Planning and Data Security

Business Continuity and Data Security planning are a key part of good business practice...
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Hedge Fund Standards

The Hedge Fund Standards Board provides a formal means of demonstrating compliance with the highest standards of control prevailing.
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EU directive for managers of alternative investment funds

An initial look at the European Commission's proposed directive and its implications, intended or otherwise...
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Breakfast Seminar, 1st July 2009

Regulatory Challenges and the Convergence of Global Hedge Fund Standards.
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Update on the AIFM Directive

... issues and opinions as they have evolved over the summer.
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ICAAP and Pillar 3 risk disclosure

Advice on the form and content of these important regulatory requirements.
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Living with MiFID

Discussion of the annual review obligations imposed by MiFID.
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Regulatory Update: January 2008

Important regulatory themes for 2008.
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Regulatory Update: Market Abuse

Review of the FSA's increasing emphasis on the detection and prevention of market abuse.
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Telephone Recording

An outline of the rules compelling certain firms to record and retain telephone and electronic communications.
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We make it our business to ensure the services we offer are clear and comprehensible. Here are some brief descriptions of terms we use in this section.

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