Sean Donovan-Smith

Sean Donovan-Smith

K&L Gates LLP

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Latest Publications


ESMA Consults on Guidelines on Sound Remuneration Policies under the UCITS V Directive and AIFMD

On 23 July 2015, the European Securities and Markets Authority (ESMA) launched a consultation on proposed guidelines on sound remuneration policies under the EU’s UCITS V Directive (the UCITS Remuneration Guidelines) and the...more

10/26/2015 - AIFMD Capital Requirements Disclosure EBA ESMA European Banking Authority Financial Institutions Financial Markets Investment Funds Investment Management Proposed Standards Remuneration UCITS

UCITS V Directive—Overview and Practical Implications

Changes to the UCITS Directive (known as “UCITS V”) were published in the Official Journal of the European Union and came into force on 17 September 2014. EU Member States are required to transpose UCITS V into national law...more

10/15/2015 - AIFMD Alternative Investment Fund Managers Directive Banking Sector Banks Bernie Madoff Compliance Consumer Financial Products ESMA EU European Commission Financial Institutions Financial Instruments Financial Markets Hedge Funds Investment Investment Adviser Investment Management Investors Lehman Brothers Member State Regulatory Standards Risk Management UCITS

European Commission publishes plans for a Capital Markets Union

On 30 September, the European Commission released its Action Plan for a Capital Markets Union (the “Action Plan”). The Capital Markets Union (“CMU”) is one of the key elements of the broader Investment Plan for Europe...more

10/8/2015 - Capital Markets Capital Markets Union Crowdfunding Economic Action Plan ELTIF EU European Commission EuVECA Financial Institutions Financing Innovation Investment Investment Funds Regulatory Standards Securitization SMEs Solvency II Startups

Dodd-Frank Turns Five, What Comes Next?

The 2008 credit crisis was the beginning of an era of unprecedented government management of the capital markets. July 21, 2015 marked the fifth anniversary of the hallmark congressional response, the Dodd-Frank Wall Street...more

8/19/2015 - Capital Markets Capital Markets Union CFPB CFTC Clawbacks Cross-Border Transactions Derivatives Dodd-Frank EU EURIBOR European Commission Executive Compensation Financial Markets Financial Regulatory Reform FSB FSOC G-SIFI Incentive Compensation Investors IOSCO Libor Liquidity Coverage Ratio Nonbank Firms Obama Administration OTC Popular Proxy Access Rule SEC Security-Based Swaps

"Wake up, England!"* - The UK’s 2015 Productivity Plan

*The title usually given to a speech by the Prince of Wales (later King George V) on 5 December 1901, when just back from a tour of the British Empire, as the Empire’s clarion call to England, the "mother country". In July,...more

8/11/2015 - Economic Development EU Hedge Funds Investment Management OECD Public Policy Roads

AIFMD Passport a "No-Go" for U.S. Managers

On July 30, the European Securities and Markets Authority (ESMA) provided its advice and opinion to the European Commission, Council and Parliament with respect to the extension of the EU’s Alternative Investment Fund...more

8/3/2015 - AIFMD Alternative Investment Funds ESMA European Commission Financial Markets FINMA Foreign Entities Passports Stock Exchange UCITS

Shadow Banking Remains on Regulatory Radar

The Financial Policy Committee (FPC) of the Bank of England (BoE) has recently published its latest Financial Stability Report (Report). The format of the Report is that the FPC assesses the outlook for financial stability by...more

7/20/2015 - Bank of England Banking Sector Banks Catastrophe Bonds Derivatives European Central Bank Financial Conduct Authority (FCA) Financial Institutions FPC Greece Hedge Funds Housing Market Insurance Industry Investment Funds Shadow Banking

A Buttonwood Tree Sprouts in Europe: What the EU’s Proposed Capital Markets Union Means for You

On Wednesday, February 18, the European Commission (“EC”) launched its ambitious “Green Paper” consultation for the creation and completion of a European Union (“EU”)-wide Capital Markets Union (“CMU”). The release of the...more

2/25/2015 - Capital Markets Capital Markets Union EU European Commission

FCA Investigating 67 Alternative Investment Fund Managers

A number of news outlets reported last week that, as of 26 January 2015, the Financial Conduct Authority (the “FCA”) was investigating 67 firms or managers subject to the Alternative Investment Fund Managers Directive (the...more

2/19/2015 - AIFMD Financial Conduct Authority (FCA) Government Investigations UK

The Extra-territorial Impact of EMIR on Non-EU Swap Counterparties

On November 18, 2013, the European Securities and Markets Authority (“ESMA”) published its final report on technical standards detailing how the regulation of over-the-counter (“OTC”) derivative contracts in the European...more

12/10/2013 - EMIR ESMA EU Extraterritoriality Rules OTC Swaps

AIFMD Remuneration Code Implementation Planning (Presentation)

In This Presentation: - AIFMD Remuneration Rules: Not going away - Are there any ways I could avoid this altogether? - If not, could I partially avoid it or minimise its effect? - When do I need to worry about...more

10/9/2013 - AIFMD EU Remuneration

Addressing Remuneration Requirements for the EU Fund Management Industry

Increasing regulation of remuneration is being introduced across the European Union, including the possibility of limits on the amounts of bonuses that may be paid by certain firms....more

7/23/2013 - AIFM AIFMD Disclosure Requirements ESMA EU Remuneration UCITS

The New World Wide Web: FATCA Inspires a Global Effort to Fight Tax Evasion

The rapid evolution of the Foreign Account Tax Compliance Act (“FATCA”) from a U.S. driven effort to crack down on U.S. offshore tax evaders into an information reporting mechanism being considered for adoption throughout the...more

6/28/2013 - Due Diligence EU European Commission FATCA Intergovernmental Agreements OECD Offshore Funds Reporting Requirements Tax Evasion Withholding Requirements

Preparing for AIFMD: Some Practical Tips, Part 1

In This issue: - A general round-up of key provisions in the AIFMD level 2 implementing regulations - Scope of the AIFMD - Timetable and transitional relief - Cross-border marketing - Delegation and...more

2/19/2013 - AIFM AIFMD Cross-Border Transactions Disclosure Requirements ESMA EU Investor Protection Reporting Requirements

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