News & Analysis as of

Alternative Investment Fund Managers Directive European Securities and Markets Authority (ESMA) European Union

Financial Services Quarterly Report - Second Quarter 2016: MiFID II: Key Considerations for Asset Managers

by Dechert LLP on

The Council of the European Union on 13 May 2014 formally endorsed a new regulatory regime that will replace the current Markets in Financial Instruments Directive (MiFID), which has been in force since 2007. The new...more

UK Referendum: Impact of ‘Brexit’ on UK/EU Financial Services

by Goodwin on

There are two substantive issues: the first relates to the rules faced by UK firms in undertaking domestic UK financial services business and whether these will be amended/repealed since the UK will no longer be subject to...more

UK Financial Regulatory Developments - June 2016 #8

by Dentons on

ESMA updates EMIR Q&A - ESMA has updated its Q&A on EMIR. The new questions address: - the clearing obligation, specifically about the self-categorisation needed to establish which counterparties belong to which...more

The Financial Report - Volume 5, No. 11 • June 2016 (Global)

by DLA Piper on

Discussion and Analysis - A few years ago, David Blass, then Chief Counsel of the SEC’s Division of Trading and Markets, created a stir when he said in a speech that private fund advisers should be concerned about some...more

Blog: ESMA Publishes Updated Q&As On The Application Of The AIFMD

by Cooley LLP on

The European Securities & Markets Authority has published its updated questions and answers on the application of the Alternative Investment Fund Managers Directive (AIFMD). The updated Q&As include 4 new questions...more

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

by Dechert LLP on

AIFMD - Updated Q&A - ESMA published an updated Q&A on the AIFMD on 5 April 2015. The new Q&A address notification requirements relating to additional investment in existing Alternative Investment Funds....more

Blog: Loan Origination By Alternative Investment Funds – ESMA’s Opinion On Next Steps

by Cooley LLP on

The European Securities and Markets Authority (ESMA) has published an Opinion on the “Key principles for a European framework on loan origination by funds“. The Opinion is addressed to the European Parliament, the Council...more

UK Financial Regulatory Developments - April 2016 #9

by Dentons on

ESRB extends deadline for recommendations on funding credit institutions - ESRB has published a Recommendation which it adopted concerning changes to the set of recommendations on the funding of credit institutions. EBA...more

European Securities and Markets Authority Joins European Banking Authority in Call for Legislative Changes on Application of...

by Shearman & Sterling LLP on

The European Securities and Markets Authority published its final report on Guidelines on the sound remuneration policies under the Units in Collective Undertakings Directive and the Alternative Investment Fund Managers...more

What's Happening on UCITS V?

by Dechert LLP on

Where are we on implementation? Are we nearly there yet? Yes and no. The UCITS V directive comes into force on 18 March 2016. But: Additional implementing rules (known as "Level 2") on the duties of UCITS...more

AIFMD Passporting Update

by Reed Smith on

EU regulated AIFMs promoting EU domiciled AIFs – We have lived with AIFMD since the full implementation date of 22 July 2014 with the marketing passport being available from that date for EU regulated AIFMs promoting EU...more

Blog: ESMA’s Advice On The Application Of The Passport To Non-EU Alternative Investment Fund Managers

by Cooley LLP on

It might soon be possible for alternative investment fund managers (AIFMs) in the United States of America, Hong Kong, Singapore, Japan, Canada, the Isle of Man, the Cayman Islands, Bermuda or Australia (the Countries), to...more

UK Financial Regulatory Developments - January 2016 #10

by Dentons on

Treasury updates Iran sanctions - Treasury has issued a notice explaining the effects on sanctions against Iran of Implementation Day (I Day) under the Joint Comprehensive Plan of Action (JCPoA). I Day was 16 January, on...more

ESMA Publishes European Commission Letter on AIFMD Passport

On January 19, the European Securities and Markets Authority (ESMA) published on its website a letter it received from the European Commission (Commission), dated December 17, 2015. The letter is in response to guidance and...more

European Commission Letter to ESMA on Application of AIFMD Passport

On January 19, ESMA published a letter it has received from the European Commission relating to the application of the EU passport under the Alternative Investment Fund Managers Directive (2011/61/EU) (“AIFMD”) to non-EU...more

ESMA updates AIFMD FAQ

by Dentons on

ESMA has updated its FAQs on the Alternative Investment Fund Managers Directive (AIFMD). A new question addresses how the depositary’s liability regime applies to those assets...more

ESMA Publishes Updated Q&A on AIFMD

by Katten Muchin Rosenman LLP on

On December 2, the European Securities and Markets Authority published an updated Questions and Answers (Updated Q&A) on the Alternative Investment Fund Managers Directive (AIFMD). The Updated Q&A focuses on Section III...more

ESMA Q&A on Application of the AIFMD

On December 2, 2015 the European Securities and Markets Authority (ESMA) published an updated Question and Answer document in relation to the Alternative Investment Fund Managers Directive (AIFMD) which puts in place a...more

Corporate and Financial Weekly Digest - Volume X, Issue 47

by Katten Muchin Rosenman LLP on

SEC/CORPORATE - FAST Act Legislation and Impact on Securities Law - On December 4, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act). This transportation bill includes...more

ESMA updates AIFMD FAQs

by Dentons on

ESMA has updated its FAQs on the Alternative Investment Fund Managers Directive (AIFMD). ...more

Orrick's Financial Industry Week in Review

ESMA Q& A on Application of the AIFMD - On December 2, 2015 the European Securities and Markets Authority (ESMA) published an updated Question and Answer document in relation to the Alternative Investment Fund Managers...more

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

by Dechert LLP on

EMIR – Indirect Clearing Regulatory Technical Standards to Align to MiFIR - ESMA published a letter on 5 October from Commissioner Hill to the European Parliament on regulatory technical standards on indirect clearing...more

ESMA publishes remuneration responses

by Dentons on

ESMA has published the responses to its consultation on guidelines on sound remuneration policies under the Undertakings for Collective Investments in Transferable Securities (UCITS) Directive and the Alternative Investment...more

Exchange International: Financial Services Regulation Newsletter - Issue 27

by DLA Piper on

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

ESMA Update to the European Parliament on the Extension of the AIFMD Passport to Non-EU AIFMs

by Katten Muchin Rosenman LLP on

On October 13, the European Securities and Markets Authority (ESMA) published the text of a speech made by its chairman, Steven Maijoor, to the European Parliament regarding ESMA’s ongoing work involving potentially providing...more

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