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Mitigating compliance risk for PE managers

Thu, 20/07/2017 - 10:29

Featuring contributions from George Ralph of RFA, Chris Thear, COO & CFO, Ledbury Capital Partners, this reports looks at how to apply sensible risk mitigation measures to the 'operations of compliance’.

The 'Mitigating compliance risk for PE managers' special report comprises 1 separate articles listed below, these can be read individually or as a sequence.
James Williams, Hedgeweek

Compliance risk management for private equity & hedge funds

Thu, 20/07/2017 - 10:40

Running an alternative fund management business has become a far more considered, strategic affair in the light of significant regulatory changes post-08. One might compare it to the ultimate game of strategy, chess. To stay in compliance with AIFMD, Dodd-Frank, and the upcoming MiFID II and General Data Protection Regulations (GDPR) in Europe, fund managers have to think two moves ahead, and ensure that they have their pawns in position. One wrong move and they run the risk of facing what might be best described as regulatory checkmate. »

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