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Only 70% of Private Equity Firms Regularly Review Conflicts of Interest Policies, Says UK FSA

At 03 Sep 2008 08:43:37 in MM-Record Keeping, MM-Regulators, MiFIDMonitor.com    Print Article  Email Article   Full content requires subscription 

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.”



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