Angelo Lercara

Angelo Lercara

Dechert LLP

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The PRIIPs Regulation – A view from Germany: Why Asset Managers should be ready as of January 2017 and not rely on Grandfathering

The Regulation (EU) 1286/2014 of the European Parliament and the Council of 26 November 2014 on key information documents for packaged retail and insurance-based investment products (“PRIIPs Regulation”) will introduce a new...more

7/27/2016 - Asset Management Germany Grandfathered Status Insurance Companies Investment Funds Packaged Retail And Insurance-Based Investment Products (PRIIPS) Retail Investors

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

General Administrative Act to Ensure Legal Certainty for Netting Agreements in the Scope of German Insolvency Law - As of June 9th 2016 BaFin issued a General Administrative Act to ensure legal certainty for netting...more

7/7/2016 - Asset Management BaFin EU EU Market Abuse Regulation (EU MAR) Germany Insolvency Investment Funds Netting Agreements Securities Suspicious Activity Reports

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Latest Investment Fund Statistics for Germany - The German Investment Fund Association BVI has issued its latest investment statistics report dated 29 February 2016, giving an overview of the net assets and net sales...more

4/29/2016 - Asset Management BaFin CCPs Derivatives EMIR Germany Investment Funds MiFID II

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Investment Statistics as of 31 January 2016 - The German Investment Fund Association BVI issued its latest investment statistics report dated 31 January 2016, giving an overview of the net assets and net sales within the...more

3/21/2016 - Asset Management BaFin Credit EU Germany Investment Funds Investment-Grade Notes UCITS

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

German Federal Government Passes Draft Bill to Amend Financial Market - The German federal government passed the draft bill to amend financial market laws on 6 January 2016 (“Erstes Finanzmarktnovellisierungsgesetz”,...more

1/18/2016 - Asset Management BaFin Board of Directors EU Germany Investment Companies Investment Funds MiFID II Solvency II

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

BaFin Issues Announcement on Fair Treatment of Investors - BaFin issued an announcement on the fair treatment of investors with regard to information on portfolio data on 13 November 2015. According to the German...more

12/10/2015 - AIF Asset Management BaFin Germany Investment Funds Investor Protection Transparency

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

BaFin Circular on Crowdlending - BaFin issued a circular on 9 October 2015 on crowdlending capital raising structures. The circular addresses, inter alia, whether crowdlending structures are subject to a license...more

11/9/2015 - Asset Management BaFin Crowdfunding Depository Institutions Germany Investment Funds Licensing Rules MiFID II

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Implementation of the European Transparency Directive 2013/50/EU in Germany - All market participants investing in German stocks and other equity shares with voting rights traded on an exchange will be subject to new...more

10/9/2015 - AIF AIFMD Asset Management BaFin EU EU Transparency Directive European Securities and Markets Authority (ESMA) Germany Investment Adviser Investment Funds UCITS

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

BaFin Publishes Form for the Notification of the Intention to Manage EU AIF’s - The BaFin published a form on 5 August 2015 for the notification procedure for a German AIFM to manage EU AIFs established in another Member...more

9/11/2015 - AIFS Asset Management BaFin Germany Investment Funds

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Finance Ministry Proposes Changes to German Fund Taxation - The draft bill proposed by the Finance Ministry for discussion purposes contains significant changes to the German tax environment regarding funds and...more

8/11/2015 - AIFM AIFS Asset Management BaFin EU European Securities and Markets Authority (ESMA) Germany Investment Fund Tax Investment Funds

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

German Federal Council Passes Retail Investors Protection Act - The German Federal Council approved the Retail Investors Protection Act on 12 June 2015 which will enter into force in the near future. The Act is designed...more

7/15/2015 - AIF AIFM Asset Management BaFin Banks EU Germany Investment Funds Retail Market Transparency Directive

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

BaFin Issues New Guidance on Debt Funds - The German Financial Supervisory Authority, BaFin, made a significant change to its administrative practice on 12 May 2015 regarding loan originating and loan restructuring...more

6/22/2015 - China Debt Restructuring EU Exchange-Traded Products Germany Investment Funds Investment Management Joint Venture

Germany's Amended Investment Ordinance

The Investment Ordinance (Anlageverordnung – “Investment Ordinance” or “AnlV”), as recently amended and as discussed in more detail below, applies to the investments and the asset allocation of insurance companies and pension...more

3/12/2015 - AIFMD AIFS Companies Ordinance Germany Insurance Industry Investment Funds New Amendments Private Equity Funds Real Estate Investments UCITS

Draft of the Amendment to the Investment Ordinance - Effects on Fund Investments

The Federal Ministry of Finance (BMF) issued a draft ordinance for the amendment of the Investment Ordinance (Anlageverordnung – AnlV) and the Pension Fund Capital Investment Ordinance for consultation (“Amendment Ordinance”)...more

7/8/2014 - Foreign Markets Investment Funds Pensions

Simplified Authorization Procedure for Cross-Border Marketing of Swiss Securities Funds and German UCITS

At the beginning of this year – to the (pleasant) surprise of market participants – an agreement came into force to implement a simplification in the marketing of Swiss securities funds (Effektenfonds) in Germany, and German...more

3/28/2014 - Cross-Border EU FINMA UCITS

Financial Services Quarterly Report - Fourth Quarter 2013: Delegated Portfolio Managers – Risk Takers or Not?

German management companies (KVGs, formerly known as KAGs) that manage alternative investment funds (AIFs) within the meaning of the Alternative Investment Fund Managers Directive (AIFMD) are considered to be alternative...more

12/30/2013 - Alternative Investment Funds Fees Foreign Investment Fund Managers Portfolio Managers Remuneration Risk Assessment Risk Management

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