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MFA Comment Letters

› Issues & Policy

Topic: regulated entities

MFA Submits Comments to UK Department for Business, Innovation and Skills08.28.14


MFA submitted a response to a paper published by the UK Department for Business, Innovation and Skills (UK BIS) entitled “Transparency […]

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Topics: beneficial owners United Kingdom, Department for Business Innovation and Skills, transparency, confidentiality, privacy, UK, person with significant control, Financial Conduct Authority, FCA, Securities and Exchange Commission, SEC, investment adviser, limited liability partnership, LLP, Cayman Islands, investment manager, limited liability, regulated entities, Disclosure, sub-adviser, corporate directors, accounting, HM Revenue & Customs, commercial enterprises,

Comment Letter to ESMA on its Technical Advice to the European Commission for Implementing AIFMD09.23.11


MFA submitted comments to ESMA on its consultation on Third Country Provisions in the AIFMD. In our response, among other […]

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Topics: AIFMD supervision and third countries, third party managers, AIFMD Level 2 provisions, delegation, depositary, equivalence, delegated management services, European Union, EU, non-EU AIF, supervision, IOSCO MMoU model, non-passport, passport, third country undertakings, equivalence requirement, equivalence standard, equivalence test, European Council, European Parliament, Level 1, third country jurisdictions, good repute, IOSCO Technical Committee Principles for Supervisory Co-Operation, G-20, competent authority, onsite visits, cross-border supervisory cooperation, regulated entities, cross-border regulated entities, dually regulated entities, systemic risk, domicile, capital requirements, strict liability standard, Basel Committee, Basel framework, broker/dealers, net capital requirement, custody services, Basel capital adequacy principles, prime brokers, EU Banking Advisory Committee, BAC, bank regulators, Securities and Exchange Commission, SEC, Self Regulatory Organizations, SRO, Committee of European Banking Supervisors, European Banking Authority, Federal Reserve, Options Clearing Corporation, OCC, OTS, NYSBD, New York State Banking Department, cooperation agreements, proprietary information, confidentiality, freedom of information regimes, Cayman Islands, member state of reference, effective marketing,

MFA Submits Comments to Securities and Exchange Board of India Regarding Request for Clarification on Foreign Institutional Investor Registration Process11.21.07


MFA submits a supplemental comment letter to the Securities and Exchange Board of India regarding MFA’s request for clarification on […]

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Topics: Securities Exchange Board of India SEBI, Offshore derivatives instruments, policy measures, ODI Policy Measures, global alternative investment industry, hedge funds, funds of funds, managed future funds, policymakers, capital markets, equities market, India, markets, Foreign Institutional Investors, FIIs, Foreign Investors, posistions, Participatory Notes (PNs) FII application process, U.S. investment advisers, anti-fraud rules, securities, commodities laws, investment advisor, interstate commerce, device, scheme, artifice, transaction, practice, course of business, Fraud, deceit, principal, Broker, security, client, purchase, Dealer, regulations, lawyer, accountant, engineer, teacher, bona fide newspaper, news magazine, busines, publisher, financial publication, Secretary of Treasury, Hedge Fund Regulation Overview, Sound Practices for Hedge Fund Managers, hedge fund manager, audited financial statements, regulated entities, registered entities, parent company, track record, special purpose vehicle, Securities and Exchange Commission, SEC, assets under management, AUM,
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