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Senior Managers and Certification Regime: Implications for Fund Managers

The UK Government and the Financial Conduct Authority (FCA) have decided to replace the existing Approved Persons Regime with a new Senior Managers and Certification Regime. This will have significant implications for all UK...more

The Markets in Financial Instruments Directive II – the UK Rules for Investment Managers

Separate account managers and fund managers in the EU will need to comply with the regulatory rules under the new Markets in Financial Instruments Directive (MiFID II) with effect from 3 January 2018. There has been...more

The AIFMD Passport – Extension to (Some) Non-EU Managers

The European Securities and Markets Authority gives the green light to the extension of the marketing passport to major non-EU funds markets. ...more

UK Referendum: Impact of ‘Brexit’ on UK/EU Financial Services

There are two substantive issues: the first relates to the rules faced by UK firms in undertaking domestic UK financial services business and whether these will be amended/repealed since the UK will no longer be subject to...more

ESMA AIFMD Opinion and Advice on the Passporting and Private Placement Regimes

Background - Under the current structure of the Alternative Investment Fund Manager’s Directive (AIFMD), European firms are permitted to market EU funds to professional investors throughout the European Union through the...more

REITs and the Alternative Investment Fund Managers Directive

The implementation of the Alternative Investment Fund Managers Directive throughout the European Union may have implications for REITs in the United States if they are determined to be alternative investment funds or “AIFs”....more

11/20/2014  /  AIFM , AIFMD , EU , REIT

Cross-Border EU Financial Services – a Guide for non-EU Firms

With all the discussion over the past couple of years on the Alternative Investment Fund Managers Directive and, in particular, marketing to investors in the European Union, less attention has been paid to the regulation of...more

The Alternative Investment Fund Managers Directive One Year On – A Guide for Non-EU Managers

It has now been a full year since US and other non-EU managers of private funds became subject to the Alternative Investment Fund Managers Directive when seeking to market or sell funds in countries in the European Union. The...more

10/30/2014  /  AIFM , AIFMD , EU , Fund Managers , Investors

The Alternative Investment Fund Managers Directive: Status Update of Implementation Throughout Europe - April 2014

EU Member States were obliged to implement the Alternative Investment Fund Managers Directive into their laws by this past July. As we have reported previously, most of the major countries for fund investors have published...more

Are Loan Agreements Debentures?

In a recent case the Court of Appeal has answered “yes” to the question of whether loan agreements are debentures. Reversing the decision of the judge at first instance, the Court concluded that the literal words of the...more

FCA Issues Final Remuneration Guidance for AIF Managers

The UK Financial Conduct Authority’s new guidance on AIFMD remuneration requirements has now provided some clarity for EU and non-EU managers, including relief from many of the requirements for small UK managers....more

The Alternative Investment Fund Managers Directive – Status Update of Implementation Throughout Europe

EU Member States were obliged to implement the Alternative Investment Fund Managers Directive into their laws by this past July. As we have reported previously, most of the major countries for fund investors have published...more

2/10/2014  /  AIFM , AIFMD , EU
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