News & Analysis as of

Asset Management

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

More regulation in the pipeline for supervisors, custodians and wholesale managers?

by DLA Piper on

The last assessment in 2003/2004 by the International Monetary Fund (IMF) identified a number of material deficiencies in New Zealand’s framework for securities regulation. The Government’s response was to completely overhaul...more

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

by Dechert LLP on

EMIR - ESMA Updates its List of Third Country CCPs and Issues Updated Q&A - On 30 March, ESMA updated its list of third-country central counterparties recognised to offer services and activities in the EU. CCPs in Dubai,...more

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

by Dechert LLP on

HM Treasury Finalises Private Fund Changes to Limited Partnerships Act 1907 - As previously reported, HM Treasury published on 16 January 2017, a draft Legislative Reform (Private Fund Limited Partnerships) Order 2016...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 CSSF-CPDI Dated 19 April 2017 - The CSSF published its Circular addressed, inter alia, to investment firms as well as AIFMs and UCITS management companies who manage portfolios on a discretionary basis...more

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

by Dechert LLP on

Central Bank Reviews Outsourcing Arrangements of Fund Administrators - The Central Bank completed a review on outsourcing carried out by Irish regulated Fund Administrators....more

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

by Dechert LLP on

BaFin Publishes Guidance on Transparency Standards for German Funds - On 4 April 2017, BaFin has published new transparency standards for funds after a BaFin investigation found that some active funds “closely” track...more

Governance & Securities Law Focus: Asia Edition, May 2017

by Shearman & Sterling LLP on

In this newsletter, we provide a snapshot of the principal Asian, US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions. Please see...more

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

by Dechert LLP on

AFG - Publication of a Public Position on RTS PRIIPs - The Association Française de la Gestion Financière (the “AFG”, the French professional association of asset managers) published on 18 April, jointly with the French...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 - European Securities Agencies Issue Statement on EMIR Variation Margin Rules, More Entities Exempt from EMIR and ESMA Re-Affirms Commitment to Co-Operate with Non-EU Regulators on CCPs - On 23 February, the...more

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

by Dechert LLP on

FCA Publishes Dealing Commission Review Findings - The FCA have published their findings from a review that analysed dealing commission expenditure across 31 investment managers. The policy statement on the use of...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 Press Release 17/06 Dated 13 February 2017 - The CSSF confirmed that it follows ESMA on its opinion in relation to the requirements for UCITS share classes....more

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

by Dechert LLP on

New Central Bank Investment Firms Regulations 2017 - The Central Bank published the Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) (Investment Firms) Regulations 2017 on 13 March 2017. The new...more

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

by Dechert LLP on

BaFin Publishes Revised "MaComp" Covering Rules of Conduct, Organization and Transparency for Investment Services Enterprises - BaFin published the revised “MaComp” on 8 March 2017. The MaComp (Governing Rules of...more

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

by Dechert LLP on

Significant Update of the General Regulations of the AMF ("GRAMF") - The Arrêté of 27 February 2017 and published to the Official Journal on 7 March 2017 has amended significantly the General Regulations of the AMF (the...more

Tax Round Up - April 2017

by Proskauer Rose LLP on

Welcome to the Tax Round Up, the first edition of what will be a regular bulletin highlighting the latest tax developments relevant to UK companies and asset managers. We plan to produce this monthly with the next one in...more

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

by Dechert LLP on

Belgian FSMA Issues Two Communications on the Marketing of Units in EEA and Non-EEA AIFs - The Belgian Financial Services and Markets Authority (“FSMA”) published two communications dated 24 February 2017 on the...more

EU's New Regime on Payments for Research, Use of Dealing Commissions

by Morgan Lewis on

The MiFID II regime will have ramifications for buy-side global asset managers and sell-side research providers relating to use of dealing commissions and cost allocation for research expenditures....more

SFC to Introduce New Excess Positions: Relevance for Asset Managers

by Allen & Overy LLP on

On 21 March 2017, the Securities and Futures Commission (SFC) published its consultation conclusions on proposed changes to the position limit regime in Hong Kong. Expected to come into force on 1 June 2017, the changes...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

News emerged in past weeks that North Korean hackers were likely behind the theft of $81 million from the central bank of Bangladesh. You can add to that an attack on more than 20 Polish banks and an attempt at other...more

Boardroom Perspectives: How Directors Can Use Sustainability to Drive Value

by Latham & Watkins LLP on

Boards frequently encounter sustainability and other environmental, social and governance (ESG) issues in the oversight of a company’s operations, management, financial reporting and public disclosure. Investors increasingly...more

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