The Financial Conduct Authority (FCA) is seeking views on proposed rules that would allow asset managers to opt for bundled payments for third-party investment research, reversing a significant aspect of the UK’s...more
As part of the EU Sustainability Action Plan and the Sustainable Finance initiative, the revised Directive 2007/36/EC (the “Shareholder Rights Directive” or “SRD II”) introduces new requirements on asset managers to establish...more
5/31/2019
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Asset Management ,
Disclosure Requirements ,
Final Rules ,
Financial Conduct Authority (FCA) ,
Institutional Investors ,
MiFID II ,
New Rules ,
Public Disclosure ,
Shareholder Rights ,
Stakeholder Engagement ,
UCITS
On 28 June 2017, the Financial Conduct Authority (FCA) published the Asset Management Market Study Final Report (the “Asset Management Review”) as well as a Consultation Paper setting out some proposed changes to the FCA’s...more
7/3/2017
/ AFMs ,
Asset Management ,
Comment Period ,
EU ,
Financial Conduct Authority (FCA) ,
Independent Director ,
Investment Funds ,
Investors ,
Public Comment ,
Senior Management Regime (SMR) ,
UCITS ,
UK
Three things you need to know -
- The UK Financial Conduct Authority ("FCA") issued guidance (the “Guidance”) on the suspension of fund redemptions.
- The Guidance applies to all FCA-authorised managers...more
On Wednesday, 8 July 2015, George Osborne delivered the UK Summer Budget. The first Budget of the new Conservative government (and the second Budget of 2015), the Summer Budget is wide-ranging in scope and potentially...more
7/13/2015
/ Asset Management ,
Banking Sector ,
Capital Gains ,
Corporate Taxes ,
Derivatives ,
Federal Budget ,
Goodwill ,
Peer-to-Peer ,
Pensions ,
Stamp Duty Land Tax ,
Tax Credits ,
Tax Reform ,
Tax Revenues ,
UK
In a speech crammed full of digs aimed at opposition parties (and the French), the UK’s Chancellor of the Exchequer delivered his final pre-election Budget this afternoon....more
Summary -
This alert sets out details of a recently published final notice issued by the UK Financial Conduct Authority (FCA) regarding the management of conflicts of interest within UK-licensed investment managers....more
Last week the Financial Conduct Authority (FCA) published two papers likely to have a significant impact on the day-to-day operation of investment fund managers in the immediate and medium term....more
Following not quite so hotly on the heels of the Autumn Statement as some would like, the U.K. government has now published draft legislation for inclusion in next year’s Finance Bill. ...more