Regulation & Compliance
Investment due diligence procedures for regulatory examinations
Robust investment due diligence procedures are no longer best practice. They’re a regulatory requirement under MiFID II which was due to roll out this month and is still scheduled to come into force in the next few months. With this in mind, it is worth revisiting your own investment due diligence procedures and being aware of what…
Read MoreFinancial Firms Can’t Ignore the Foreign Corrupt Practices Act
As the recent SEC action against BNY Mellon shows, banks and asset managers must look closely at their business to ensure FCOA compliance… Read more
Read MoreESG ‒ Issues Faced by an Elusive Definition
By: Richard M. Morris Threshold Diligence Issues Confronting ESG Investments Investors with allocations in the environmental, social and governance asset class (ESG) face numerous due diligence issues regarding the construction and management of their investment portfolio. One threshold issue that must be addressed by the investor and investment manager is the scope or definition of…
Read MoreBalancing Innovation and Risk Through Enhanced Derivatives Governance
Geoff Cole and Jackie Colella, Sapient Global Markets Typically considered an instrument reserved for hedge funds and complex investment strategies, derivatives are becoming far more common today within investment portfolios. Desire for benchmark outperformance and product differentiation in a crowded marketplace has led to a marked increase in the use of derivatives within US mutual…
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