News & Analysis as of

Asset Management

Monetizing Dormant Assets to Make Speculative, but Principal Protected, Investments

by Slim Ventures LLC on

Adventures In Structured Finance - Scenario: A successful Developer has a large tract of entitled but unimproved land worth, for illustration purposes, over $30,000,000. He is keen to sell it but the offers he has...more

Asset Management Regulatory Roundup - July 2017 - Issue 1

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. In this issue we look at the extension of the PSC regime to Scottish limited partnerships and AIM listed companies,...more

In the eye of the beholder? The concept of value for money, and the FCA's governance proposals for asset managers

by Dentons on

The publication of the Financial Conduct Authority's Consultation Paper CP17/18 (the CP) and Asset Management Market Study mark a further milestone in the FCA's work on the functioning of the asset management industry....more

Financial institutions M&A: Asset management

by White & Case LLP on

Current market: - Upward, significant - Increasing competition, pressure on costs and changes in investor behaviour have already led to some consolidation in the industry. Much more is on the horizon...more

Key Takeaways from the UK Financial Conduct Authority's Review into the Asset Management Market

by Jones Day on

On 28 June 2017, the UK Financial Conduct Authority ("FCA") published its final report in relation to its review of the UK asset management market. The report sets out a package of reform proposals designed to address certain...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 - New Third Country CCPs Recognised - ESMA updated its list of third-country central counterparties recognised to offer services and activities in the EU on 29 May 2017 – New Zealand Clearing Ltd may now clear. ...more

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

by Dechert LLP on

FCA Issues New Guidance on Cyber Resilience and Notification of Cyber Attacks - The FCA published a new page on its website providing informal guidance on cyber resilience on 18 May 2017. Following the recent global...more

MiFID II – EU market access for non-EU portfolio managers

by Dentons on

As of 3 January 2018, the Markets in Financial Instruments Directive II (MiFID II) will provide for a new regime for non-EU portfolio managers to access the EU market. Please see full Briefing below for more information....more

FCA Publishes Final Policy Statement on MIFID II Implementation

by Ropes & Gray LLP on

The Financial Conduct Authority (“FCA”) has published its final policy statement on implementation of the revised EU Markets in Financial Instruments Directive (“MiFID II”), which takes effect in the EU in January 2018....more

Regulation Round Up - June 2017

by Proskauer Rose LLP on

2 June - The ESMA published its final report on guidelines on product governance requirements under the MiFID II Directive (2004/65/EU). The guidelines (set out in Annex IV) to the final report aim to promote greater...more

Financial institutions M&A: Sector trends - Opportunities for M&A transactions in the European financial services sector - June...

by White & Case LLP on

Inorganic growth strategies are key to remaining competitive and winning market share in the European financial services sector. Almost a decade after the financial crisis, most European financial institutions are still...more

Financial Conduct Authority’s Asset Management Review – Authorised Funds Shake Up

On 28 June 2017, the Financial Conduct Authority (FCA) published the Asset Management Market Study Final Report (the “Asset Management Review”) as well as a Consultation Paper setting out some proposed changes to the FCA’s...more

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

by Dechert LLP on

CSSF Circular 17/654 Dated 17 May 2017 - The CSSF published its Circular addressed to credit institutions and certain PSFs regarding the sub-delegation for IT cloud services. The CSSF has also, inter alia, amended its...more

Corporate and Financial Weekly Digest - Volume XII, Issue 25

SEC/CORPORATE - NYSE Withdraws Proposed Rule to Allow Listing Without an IPO - On June 19, the New York Stock Exchange (NYSE) filed a notice withdrawing its proposed rule that would have allowed companies to list on the...more

FCA Publishes the Final Version of Its Asset Management Market Study

by Dechert LLP on

The Financial Conduct Authority (FCA) published the final version of its Asset Management Market Study (MS15/2.3) on 28 June 2017, setting out its policy proposals for the UK asset management industry....more

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

by Dechert LLP on

Discussion Paper on ETFs Published by the Central Bank - The Central Bank has published this Discussion Paper about Exchange traded Funds (ETFs). It notes that Ireland is the largest European centre for Exchanged Traded...more

FCA publishes final report on competition in UK asset management

by Ropes & Gray LLP on

The Financial Conduct Authority (“FCA”) published today its final report on its asset management market study. The report is the culmination of almost two years’ work on the UK asset management sector by the FCA, focussing...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

A banner round of stress-testing for the US’s biggest banks (all passed for the first time in the test’s 7-year history) is seen as paving the way for banks to pay out their largest dividends in nearly a decade....more

FCA Seeks to Reform UK Asset Management Sector

by Latham & Watkins LLP on

FCA publishes final report in its asset management market study and announces package of remedies. The FCA published the final report in its asset management market study on 28 June 2017. The terms of reference for the...more

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

by Dechert LLP on

AMF Priorities in the EMIR Review - The Autorité des Marchés Financiers (the “AMF”, the French financial markets authority) published two position papers on 2 May 2017 relating to the EMIR review...more

Key Considerations for Asset Managers under the DOL’s Fiduciary Rule

by Ropes & Gray LLP on

On June 9, the long-anticipated compliance date for the U.S. Department of Labor’s fiduciary rule arrived. As a result, many institutions and individuals, including asset managers of open- and closed-end funds,...more

Changes in insurance regulation: China / Hong Kong / Singapore / Indonesia / Vietnam

by Hogan Lovells on

Please find our Asia insurance regulatory tracker for the first quarter of 2017. It includes updates on the new independent insurance regulator for Hong Kong (which will assume its functions on 26 June), new rules on...more

Funds Talk: June 2017 - SEC Proposes Changes to Investment Advisers Act in Response to FAST Act

On May 3, the Securities and Exchange Commission (SEC) released proposed amendments to certain rules under the Investment Advisers Act of 1940 (the Advisers Act) to reflect the impact of the Fixing America’s Surface...more

Asset management: Coming out of the shadows - Financial Stability Board addresses structural vulnerabilities from asset...

by White & Case LLP on

On 12 January 2017, the Financial Stability Board (FSB) published its Policy Recommendations to Address Structural Vulnerabilities from Asset Management Activities....more

Recent Developments in Bank Resolution – Can Bridge Banks be Resolved?

by White & Case LLP on

The international bank resolution framework agreed at the level of the Financial Stability Board ("FSB") and the G 20 is focused on solving the "too big to fail" conundrum. A central objective is that bank resolution regimes...more

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