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ESMA Updates Q&A on Application of AIFMD

On May 12, 2015, the European Securities and Markets Authority (ESMA) published an updated version of its Q&A paper on the application of the Alternative Investment Fund Managers Directive (2011/61/EU) (AIFMD)...more

Orrick's Financial Industry Week in Review

EBA Final Report on Guidelines on Triggers for Use of Early Intervention Measures Under BRRD - On May 8, the European Banking Authority (EBA) published its final report (EBA/GL/2015/03) on guidelines on triggers for the...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

UCITS: New KIID Q&A - ESMA published revised Q&A’s on the KIID on 26 March 2015. The Q&A includes a new question on the treatment of past performance information in case of fund mergers....more

A Borrower and a Lender Be: Irish Central Bank’s Loan Origination Fund Rules

There has been an increasing focus within Europe on alternatives to bank-based credit. Loan origination funds, which look to source loan assets for their investment portfolio by directly originating loans (rather than...more

The Financial Report - Volume 4, No. 7 • April 2015 (Global)

Discussion and Analysis - Last week, the Securities and Exchange Commission proposed to amend SEC Rule 15b9-1 under the Securities Exchange Act of 1934, which exempts certain broker-dealers from membership in a...more

ESMA Updates Q&A on the AIFMD

On March 26, the European Securities and Markets Authority (ESMA) published an updated questions and answers (Updated Q&A) of the application on the Alternative Investment Fund Managers Directive (AIFMD). ...more

Investment Funds Update - Europe: Key legal and regulatory updates for the funds industry from the primary European asset...

2014 - A Good Year for Luxembourg – ALFI Press Release - ALFI issued a press release on 3 February 2015 stating that 2014 was a historical year for the Luxembourg fund centre. For the first time in its history, assets...more

Investment Funds Update - Europe: Key legal and regulatory updates for the funds industry from the primary European asset...

EU Passes New Council Directive to Implement “EU-FATCA" - The Council Directive passed by the EU on 1 December 2014 implements the OECD’s Common Reporting Standard (CRS) in Europe. The Directive has to be implemented...more

Financial Services Regulation: Exchange International Newsletter - Issue 25 - February 2015

DLA Piper’s Financial Services International Regulatory team welcomes you to the twenty-fifth edition of ‘Exchange – International’ – an international newsletter designed to keep you informed of regulatory developments in the...more

Reporting Under the AIFMD for Luxembourg AIFMs and Non-EU AIFMs Marketing AIFs in Luxembourg

One of the key drivers for the AIFMD1 is to monitor systemic risk by, among other means, collecting relevant information through harmonized reporting by alternative investment fund managers (“AIFMs”) on their alternative...more

Fund Distribution Strategies Under the European AIFMD

After a year-long transitional period, the European Alternative Investment Fund Managers Directive (AIFMD) is now in force, in all but six EEA Member States. This article examines the methods now available to market private...more

Bridging the Week - December 2014 #2

CFTC Commissioner Raises Ghost of HanMag Securities to Discuss Clearinghouse Risk Management Issues… Invoking the specter of the default of HanMag Securities Corporation on the Korea Exchange (KRX) last December...more

ESMA Consults on Guidelines on Asset Segregation Under AIFMD

On December 1, 2014, the European Securities and Markets Authority (“ESMA”) published a Consultation Paper (ESMA/2014/1326) on asset segregation under the Alternative Investment Fund Managers Directive (2011/61/EU) (“AIFMD”)....more

ESMA Takes First Steps Toward Determining Whether To Extend AIFMD’s Passport to Non-EU AIFMs

On November 7, the European Securities and Markets Authority (ESMA) published a Call for Evidence (available here) seeking industry views that will be used to help shape its opinion and advice required to be provided by July...more

Corporate and Financial Weekly Digest - Volume IX, Issue 45

In this issue: - Proxy Advisory Firms Release Policy Updates for 2015 - CBOE Makes Enhancements to Its Market-Maker Trade Notification System - OTC Derivatives Regulators Group Issues Report to G20...more

ESMA Call for Evidence on AIFMD Passport and Third Country AIFMs

On November 7, the European Securities and Markets Authority (ESMA) published a call for evidence on the EU passport under the Alternative Investment Fund Managers Directive (AIFMD) and third country Alternative Investment...more

Updated EMIR Q&A Published by ESMA

The European Securities and Markets Authority (ESMA) published the eleventh version of its “Questions and Answers” on EMIR implementation (EMIR Q&A) on October 24. The updated EMIR Q&A responds principally to questions that...more

Corporate and Financial Weekly Digest - Volume IX, Issue 39

In this issse: - ISS Publishes Results of Annual Global Voting Policy Survey - FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System - NFA Issues Notice...more

ESMA Publishes Guidelines on Reporting Obligations Under the AIFMD

On August 8, the European Securities and Markets Authority (ESMA) published official translations of its Guidelines on Reporting Obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the Alternative Investment Fund...more

Corporate and Financial Weekly Digest - Volume IX, Issue 32

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

10 Popular Reads Covering Latest European Union Developments

Recap of popular updates covering latest developments in the European Union....more

Application of the European Market Infrastructure Regulation to Alternative Investment Fund Managers

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

ESMA Publishes Table Showing Compliance with its Guidelines Relating to Global Supervisory Co-Operation on AIFs

On June 20, ESMA published a table showing which competent authorities comply or intend to comply with its guidelines on the model MoU concerning consultation, cooperation and the exchange of information related to the...more

Orrick's Financial Industry Week in Review

ESMA Publishes Table Showing Compliance with its Guidelines Relating to Global Supervisory Co-Operation on AIFs - On June 20, ESMA published a table showing which competent authorities comply or intend to comply with...more

Financial Regulatory Developments Focus - May 2014

In this issue: - Derivatives - Regulatory Capital - Recovery & Resolution - Funds - Financial Services - Enforcement - Events - Excerpt from...more

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