News & Analysis as of September 18, 2024

MiFID II

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The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -

Regulation Round Up - July 2024

Proskauer Rose LLP on 8/7/2024

Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more

The FCA’s Agenda for UK Asset Management

Proskauer - Regulatory & Compliance on 6/3/2024

Background - On 23 May 2024, Ashley Alder, the Chair of the UK Financial Conduct Authority (“FCA”), delivered a speech which outlined the regulator’s agenda for the asset management sector (the “Speech”). In particular,...more

AIFMD 2.0: What’s New? Analysis of Key Changes

Dechert LLP on 3/28/2024

The text of the directive to amend the AIFMD (so-called AIFMD 2.0) was published in the Official Journal of the EU on 26 March 2024 and will enter into force on 15 April 2024. Member States have 24 months to transpose the...more

Regulation Round Up - February 2024

Proskauer Rose LLP on 3/5/2024

Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more

Regulation Round Up - December 2023

Proskauer Rose LLP on 1/4/2024

Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. Key developments in December 2023: 21 December - UK / Swiss Regulatory...more

Irish Quarterly Legal and Regulatory Report - Asset Management and Investment Funds July - September 2023

Walkers on 10/18/2023

Welcome to the July – September 2023 issue of our Irish Quarterly Legal and Regulatory Developments report for asset management and investment funds. This report covers key dates and developments during the quarter, such...more

Horizon Scan for Private Investment Funds: Key Recent and Expected Funds, Regulatory, and Tax Developments to Look Out For

Goodwin on 10/3/2023

Welcome to the third edition of our Horizon Scan, where we focus on some of the principal recent and expected developments and changes that we expect to be of interest to those in the private funds and investment management...more

Regulation Round Up - May 2023

Proskauer Rose LLP on 6/6/2023

Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more

European Commission Proposes Wide-Ranging Enhancements to Retail Investor Protection Rules

Latham & Watkins LLP on 6/6/2023

As the “most ambitious legislative proposal since the inception of EU financial regulation”, the changes would make significant amendments to MiFID II and PRIIPs. On 24 May 2023, the European Commission (Commission)...more

AIFMD 2.0 – The Negotiations Begin

Dechert LLP on 5/31/2023

As noted in our earlier OnPoint, on 25 November 2021, the European Commission (the Commission) adopted a package of measures that aimed to deliver on several key commitments in the 2020 Capital Markets Union action plan,...more

European Union Mandates IT and Cybersecurity Resilience Requirements for Investment Managers and Firms with Enactment of DORA

Akin Gump Strauss Hauer & Feld LLP on 3/2/2023

The European Union (EU) adopted Regulation (EU) 2022/2554 on digital operational resilience for the financial sector (the “DORA Regulation”) in January 2023. The DORA Regulation seeks to establish a harmonised digital...more

European Regulatory Timeline 2023

Proskauer Rose LLP on 1/18/2023

Following the turn of the new year, our UK Regulatory specialists have examined the key regulatory developments in 2023 impacting a range of UK and European firms within the financial services sector. The key dates have been...more

European SPACs: Guide to Regulatory Expectations - March 2022

Latham & Watkins LLP on 4/21/2022

Special purpose acquisition companies (or SPACs) saw a significant increase in popularity in 2020, which has continued into 2021. This trend, which largely started in the United States, has spread to global capital markets...more

European Regulatory Timeline 2022

Proskauer Rose LLP on 1/20/2022

Following the turn of the new year, our UK Regulatory specialists have examined the key regulatory developments in 2022 impacting a range of UK and European firms within the financial services sector. The key dates have been...more

Regulation Round Up - November 2021

Proskauer Rose LLP on 12/6/2021

The European Securities and Markets Authority (“ESMA”) published a corrigendum from the European Commission to a set of answers on the application of the EU Sustainable Finance Disclosure Regulation (EU/2019/2088) (“SFDR”)....more

ESMA reminds UK investment market of the MiFID II reverse solicitation rules

BCLP on 1/14/2021

ESMA has issued a stark reminder that reverse solicitation, where it can be used, has to be carefully managed and documented, and is an area of regulatory scrutiny and focus. This short note also takes stock on the EU27...more

Regulation Round Up - December 2020

Proskauer Rose LLP on 1/11/2021

31 December - The Brexit Transitional Period (pursuant to which the UK stayed in the Single Market and European Customs Union came to an end. The FCA updated its Brexit webpages to remind firms of the potential impact...more

ESG and SFDR regulatory developments for funds and asset managers

A&O Shearman on 12/7/2020

The European Commission and other bodies continue to press ahead with an ambitious Environmental, Social and Governance (ESG) sustainability agenda, with a number of further initiatives in the pipeline. ...more

ESG: New Disclosure Rules for Investment Managers

Akin Gump Strauss Hauer & Feld LLP on 11/25/2020

1. New EU and UK disclosure requirements - The new disclosure requirements for investment managers and advisers with respect to their environmental, social and corporate governance (ESG) policies will apply in the European...more

New ESG changes to MiFID II, AIFMD and the UCITS Directive

A&O Shearman on 11/18/2020

As a further step in the roll out of its green agenda, the European Commission is shortly expected to finalise certain ESG related changes to MiFID II, AIFMD and the UCITS Directive. These will contain various requirements,...more

Regulation Round Up - October 2020

Proskauer Rose LLP on 11/4/2020

29 October - The Financial Conduct Authority (“FCA”) updated its webpage on its responsibilities to mutual societies and its webpage on mutual societies’ annual returns and accounts. The FCA published a press release...more

European ESG Disclosure Requirements for Asset Managers

Proskauer Rose LLP on 9/18/2020

A new European regime on sustainability-related disclosures in the financial sector will come into force from March 2021, after first being announced in 2018 during the European Commission’s Action Plan on Sustainable...more

European Commission Report Assesses AIFMD Application and Scope

Latham & Watkins LLP on 6/18/2020

The European Commission has published its long awaited report that assesses the application and scope of AIFMD. On 10 June 2020, the European Commission published a report assessing the application and scope of the...more

Third-Country Firms Operating Cross-Border Into the EU - Upcoming Reform

Latham & Watkins LLP on 1/14/2020

Firms outside of Europe should be aware of planned upcoming changes to how they access European markets. Key Points: ..The EU legislators have been reviewing various financial services regimes and developing reforms...more

Update for asset and fund managers - environmental, social and governance (ESG) regulatory developments

A&O Shearman on 11/25/2019

Sustainable investing and ESG have become “buzz” words in the asset and fund management industry, with a vast array of new industry bodies and initiatives both in the EU and globally. New regulations are also emerging as the...more

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