PDF: US Regulation for Asset Managers outside the United States

US Regulation for Asset Managers outside the United States

Asset management: A regulatory perspective | FCA

The proposed changes strengthen the duty on asset managers to act in the best interests of investors. We have issued final rules on requiring asset managers to pay any profits they may earn when dealing as principal in the units of dual prices fund without putting their own capital at risk (so called ‘risk free box profits’) back into the fund.

Asset management regulation KPMG United Kingdom

Asset management regulation: Europe and US take different paths Asset management regulation ... “Asset managers in Europe and Asia aren’t seeing any let up in the volume of regulations they face, while the US takes a different path. A clear example of the diverging approaches can be seen in the debate on asset management and systemic risk.

The Securitisation Regulation: key points for US

The EU’s Securitisation Regulation becomes effective from 01 January 2019. The Regulation replaces securitisation provisions in, among other things, the Alternative Investment Fund Managers Directive (AIFMD). Importantly, some US investment managers will now find themselves subject to the Regulation’s due diligence and risk retention requirements.

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Regulation of the Asset Management Advisory Industry

The gist of these reports and consultations is the supposition that the asset management industry—particularly because of its size—poses systemic risk implications that require additional regulating. Regulation. In 2013, the OFR published a report highlighting the risks of asset management (on which the SEC sought public comment).