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Asset Management Derivatives European Securities and Markets Authority (ESMA)

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EMIR ALERT: EMIR REFIT – 19 days to go…

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On Tuesday 28 May 2019, the EMIR Refit Regulation (the "EMIR Refit") was published in the Official Journal. Relevant entities now have only 19 days to prepare for some of the key changes, ahead of the go live date of Monday...more

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

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FCA issues further guidance on Brexit preparations - The FCA has published a series of guidance to assist regulated firms in finalizing their preparations for Brexit, particularly in the event of a no-deal scenario when EU...more

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

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MiFID II – updated Q&As on MiFID II and MiFIR transparency topics and obligations on disclosure of information to clients in the context of Brexit - ESMA updated its Q&As on 4 January on MiFID II and MiFIR transparency...more

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

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AIFMD – updated ESMA Q&A - ESMA published updated Q&As on the application of the AIFMD on October 4. ESMA has added a new Q&A clarifying the application of the AIFMD notification requirements with regard to AIFMs managing...more

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

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MIFID II – EMSA updates Q&As on commodity derivatives topics and asks European Commission to clarify “ancillary activity” test under MiFID II - ESMA updated its Q&As on 27 March 2018 on commodity derivatives topics...more

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Asset Management Regulatory Roundup - October 2017 - Issue 8

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A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on US-EU equivalence of certain OTC derivative rules; the FCA asset management...more

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Asset Management Regulatory Roundup - October 2017 - Issue 7

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A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on ESMA's updated Q&As on the Benchmark Regulation and European Commission delegated...more

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Asset Management Regulatory Roundup - August 2017 - Issue 4

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A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on MiFID II: Client classification of local authorities, FCA paper on dark trading, the...more

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

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AIFMD - ESMA Updates Q&As on the Application of the AIFMD - ESMA updated its Q&As on 16 December on the application of the AIFMD. The revised Q&As include one updated question and answer on reporting obligations by...more

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

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EMIR – Revised List of CCPs and New Rules to Mitigate Risks in Non-Cleared OTC Derivative Transactions ESMA updated its list on 29 September 2016 of third-country central counterparties recognised to offer services and...more

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

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AIFMD – ESMA Updates Q&A on the Application of the AIFMD - ESMA updated its questions and answers on the application of the AIFMD on 3 June 2016. The new content includes a new question and answer on requirements...more

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

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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

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

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FCA Scraps New RDR Rules for Nominees to Pass on Fund Information and Voting Rights on FCA Authorised Funds to Beneficial Owners - The FCA board agreed on 30 July 2015, to revoke certain new rules and guidance in its...more

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

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Suspension from Trading of Certain Financial Instruments Apropos Greece - Following a decision of the Hellenic Capital Market Commission (HCMC), the competent authority of Greece, to suspend the trading of certain...more

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

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AIFMD - Updated Q&A from ESMA - On 12 May, ESMA issued new Questions and Answers of the application of the AIFMD, including new questions and answers on reporting and calculation of leverage. The revised Questions...more

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

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Capital Markets Union - European Commission published a speech by EU Commissioner Jonathan Hill on 17 April 2015, in which he highlighted the benefits of the proposed CMU. Points of interest from the event include: ...more

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Financial Services – Update on UK and European Regulatory Developments

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This update summarises current regulatory developments impacting the asset management sector in the UK and throughout the European Union. In this issue: - Part A – Regulation of Financial Markets - Part B –...more

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