Originally appeared in MiFID Monitor

A thematic review of the management of conflicts of interest within private equity firms has found the “key concerns” that fewer than 80% of the firms surveyed maintain formal conflict of interest policies and procedures. Moreover, only 70% of these policies are formally reviewed on a regular basis. The UK’s Financial Services Authority (FSA), who conducted the review, says: “Materially significant area(s) of improvements were required at 40% of firms visited.”

You must login and be a subscriber to see the rest of this article.

Existing Users Login

Sign up for Complimentary Access or Subscribe to Read this Article

For instant access to our A-Team Insight content, you can sign up for 30-day complimentary access to the full content of our news services. This will enable you to read the latest in-depth analysis on the stories that matter to you, access and search our full archives, and receive the latest monthly issue of A-Team Insight in convenient PDF format.

You may qualify for annual complimentary access if you are a senior manager at a financial institution (bank, brokerage, asset management firm, etc.).

For more information or to register, CLICK HERE for instant complimentary access.

Already like what you've seen and know you want to subscribe? An annual subscription is priced at £495/$795 and gives full access for up to three people to all our online content and the monthly A-Team Insight digest of the top news in PDF format. CLICK HERE to subscribe now.