Investment Management Update - January 2015
US lawmakers seek push out details.
US Senators Elizabeth Warren and Elijah Cummings sent a letter to the country’s banking regulators asking for information concerning the effect of an amendment to the Dodd-Frank act...more
EU Capital Markets Union: FCA Responds to European Commission Green Paper -
The FCA published its response to the European Commission's green paper on 27 May 2015 on building a capital markets union (CMU).
Tax: HMRC Publishes Filing Dates for New AIFM Mechanism for Partnership Deferred Remuneration Arrangements -
The Finance Act 2014 introduced a provision intended to help partnerships (including LLPs) that are AIFM...more
On September 28, the Financial Conduct Authority (FCA) updated its Alternative Investment Fund Managers Directive (AIFMD) reporting webpage with information about Annex IV transparency reporting. In a separate communication,...more
In this issue:
- SEC’s Office of Investor Education and Advocacy Releases Alert on Identifying Fraudulent Private Placements
- ICE Futures U.S. Issues Amendments to EFRP Rule and FAQs
- Consumer Financial...more
Recap of popular updates covering latest developments in the European Union....more
European investment managers of non-UCITs funds will have to be authorised as an alternative investment fund manager (known as an “AIFM” under AIFMD) under the Alternative Investment Fund Managers Directive (“AIFMD”) from 22...more
The Alternative Investment Fund Managers Directive (“AIFMD”), which governs alternative investment fund managers (“AIFMs”), required EU Member States (“Member States”) to implement the AIFMD into national law as of 22 July...more
In this newsletter
- Dodd-Frank Act – Designation of asset managers as systemically important financial institutions
- Volcker Rule finalised with a more limited application to covered fund activities...more
ESMA Reports on Information that Competent Authorities Should Provide to it Under the AIFMD -
The European Securities and Markets Authority (ESMA), has published a final report of technical advice for the European...more
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
This alert will be of interest to FCA-authorised investment management firms that are registering, or are currently considering registering, as alternative investment fund managers (“AIFMs”).
On November 4, the FCA published a statement on reporting requirements for managers of AIFs (AIFMs) under the AIFMD.
In certain circumstances, firms already authorized as AIFMs will be required to provide regulatory...more
The UK Financial Conduct Authority (FCA) released proposed guidance on 6 September 2013 on its implementation of the remuneration provisions in the AIFM Directive (the AIFM Remuneration Code) for UK alternative investment...more
Alternative investment fund managers based outside the European Economic Area (EEA) who wish to market their alternative investment funds (AIFs) to European investors are rightly concerned about additional restrictions and...more
European Banking Authority Publishes Responses to Consultation Paper on the Definition of Material Risk Takers for Remuneration Purposes -
The European Banking Authority (EBA) published a list of responses received to...more
UK asset managers may have understood that they had until July 2014 to apply to become Alternative Investment Fund Managers (AIFMs) under the AIFM Directive (AIFMD). However, in a recent statement, the UK Financial Conduct...more
On August 15, the Financial Conduct Authority (FCA) updated the “latest news” webpage on the Alternative Investment Fund Managers Directive (2011/61/EU) (AIFMD) with information on passporting arrangements under the AIFMD....more
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