European securities regulators proposed new guidelines for hedge funds that call for them to structure their compensation plans to avoid excessive risks.
The European Securities and Markets Authority (ESMA) published a consultation paper Thursday on the remuneration of alternative investment fund managers, including hedge funds, private equity funds, and real estate funds. Under the guidelines, these funds will be asked to introduce prudent remuneration policies, with the aim of increasing investor protection and avoiding conflicts of interest that may lead to excessive risk taking.
The guidance is being developed in response to new rules for alternative investment managers, which include requirements for remuneration policies, and they also require ESMA to further clarify those requirements.
The guidelines require firms to distinguish between fixed compensation and variable pay, which can include cash, securities, loans, carried interest and non-monetary benefits such as car allowances; and calls on firms to align their remuneration with effective risk management and the firm’s strategy. It also says that retention bonuses should only be allowed to the extent that risk alignment requirements are properly applied. And, it sets internal governance expectations and imposes transparency requirements, among other things.
“The proposed remuneration guidelines for alternative investment funds are an important step in creating a single EU rulebook by ensuring the consistent application of the AIFMD remuneration requirements across member states,” said Steven Maijoor, ESMA chairman.
“Given our co-operation with the European Banking Authority on remuneration principles, we expect that the future guidelines will ensure consistency of the rules for remuneration across financial sectors. This consistency will help strengthen the protection of investors and avoid the creation of adverse incentives for those managing alternative investment funds.”
The guidelines are out for comment until the end of September and ESMA aims to publish a final report before the end of 2012, so that they will be in place by July 22, 2013.