SBAI Responds to CIMA Consultation on Corporate Governance

In our response to this Consultation, we outline our thoughts on how existing industry practices could be improved to achieve the desired outcomes, while highlighting our concerns in relation to the publication of early details related to ongoing enforcement cases.

The Securities and Exchange Commission (SEC) has introduced new rules to address conflicts of interest when advisers offer investors the choice between selling or exchanging their interests in a private fund for interests in another vehicle managed by the adviser or related parties. In this piece, we explore the impacts of these new rules for investors and managers and highlight considerations for effective implementation.

In our response we highlight key positions that are important when developing rules in the area of Predictive Data Analytics.

In our response, we highlight key positions we view as important when developing rules in the area of Safeguarding Advisory Client Assets.