Barbara Knoflach, CEO of SEB Asset Management, on the rise of cross-border real estate investment
Ventas' Debra Cafaro on why the Health Care asset class is well positioned in today's economy
End of Fiscal Year!
ORCF has asked us to emphasize that it is very close to meeting their 2014 fiscal goals. The ORCF Closing team invites all complete closing packages to be submitted to the assigned HUD Attorney and...more
A new HUD Office of Inspector General (OIG) audit published last week levied intense criticism at HUD’s implementation of public housing asset management. Focusing on HUD’s methodology and monitoring of asset management and...more
The use of established third-party platforms has become increasingly popular for asset managers launching UCITS-compliant funds in recent years. The indicators are that this trend is likely to be even more pronounced among...more
On June 10, the Chair of the European Securities Markets Authority (ESMA) gave a speech on systemic risks and current policies in the EU fund industry, which considers whether asset managers can be too big to fail.
Does your organization have “intellectual assets”? Regardless of what your organization does – whether it is a service-based business, or in the manufacturing sector, whether it is driven by cloud-based software or...more
A fine of over £18 million was recently imposed by the UK regulatory body, the Financial Conduct Authority (the “FCA”), on a fund manager for a range of compliance breaches, including failing to ensure that its KIIDs were...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
The proposal covers shareholder votes on remuneration policies and related party transactions and greater transparency obligations on certain market participants.
The European Commission (EU Commission) recently...more
The Qatar Financial Centre Regulatory Authority (“the QFCRA”) has recently issued new rules which amend the Insurance Business Rules 2006 (PINS) (the “2006 Rules”). The Insurance Business (Risk Management Capital Adequacy and...more
In this issue:
- Regulatory Capital
- Financial Market Infrastructure
- Financial Services
- Consumer Protection
Simon Bushell and James Davies of Latham & Watkins LLP explain the process of locating, preserving and recovering assets in the UK and overseas.
It is important for international companies to be able to plan and...more
European Parliament Committee Publishes Opinion on Money Laundering Directive 4 -
On January 7, the European Parliament published an opinion, written by its Committee on Legal Affairs (or JURI) relating to the...more
The Federal Reserve Board, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, and the Securities and Exchange Commission (the "SEC") issued a final rule, and the Commodity Futures...more
On September 12, the FCA published a speech by Martin Wheatley, FCA Chief Executive, on the FCA’s plans for 2014, which focus on issues relating to asset management, MiFID II and EMIR (the Regulation on OTC derivatives,...more
This post is the third in a four-part series about Digital Assets and estate planning. Read part 1, “What are Digital Assets?” and part 2, “Do your Digital Assets have Value?”. As previously discussed, Digital Assets, such as...more
When my wife and I bought our house, there were quite a few things that the previous owner forgot to tell us such as the fact they never bothered to pull the pipes from the dental office run by a previous owner 20 years...more
While working on the chapter on Regulatory Assets Under Management for my new book about Dodd Frank and the Advisers Act, I realized that now would be a really good time to blog about the topic. Soon, at the end of March to...more
On 25 November 2013, the U.K.’s Financial Conduct Authority (the FCA) issued a consultation paper proposing new rules to clarify the circumstances in which U.K. asset managers can currently pay dealing commission (CP13/17)....more
I know you’ve been eagerly awaiting the return of SEC CustodyFest. Let’s turn to the second matter brought by the SEC on October 28th: Further Lane Asset Management. This case actually did not revolve around the investment...more
Full copy of the comment letter recently submitted by Dechert to the Securities & Exchange Commission regarding the Office of Financial Research’s report on "Asset Management and Financial Stability."
Dechert is highly...more
Thomas P. Vartanian, Chair of Dechert’s Financial Institutions practice, responded to the U.S. Securities and Exchange Commission's (SEC) request for comments, on behalf of certain clients, by comprehensively criticizing the...more
The FDIC issue a Financial Institution Letter (“FIL-46-2013”) reminding FDIC-insured state nonmember banks (“Banks”) of the importance of developing and implementing a comprehensive asset-liability and interest rate risk...more
On September 30, 2013, the SEC opened a page on its website to allow the public to comment on a study entitled “Asset Management and Financial Stability” by November 1, 2013....more
On September 30, the US Treasury’s Office of Financial Research published a study (Study) commissioned by the Financial Stability Oversight Council (FSOC) that explores possible ways in which asset management firms and their...more
In this issue:
- SEC Launches Public Website for Analyzing Exchange Data
- New York Stock Exchange Proposes New Rules to Harmonize Quantitative Continued Listing Standards and Modify Reverse Merger Listing...more
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