News & Analysis as of

Asset Management European Economic Area (EEA)

BCLP

Roadmap to Sustainable Investing: UK Government proposals for a green finance rulebook - with an industry call to action to help...

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Building on its ambition to develop the UK as an international centre for green finance, as first set out in its 2019 Green Finance Strategy, the Government has published its Roadmap to Sustainable Investing. There are four...more

Cadwalader, Wickersham & Taft LLP

August Changes to Fund Distribution in the EEA

This week sees the introduction of significant changes to the rules and regulations governing the marketing of alternative investment funds (“AIFs”) to investors in the Member States of the European Economic Area (the “EEA”)...more

Hogan Lovells

Funds and asset management regulatory news, January 2021

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TMPR: FCA update on adding new sub-fund to umbrella scheme - The UK Financial Conduct Authority (FCA) has updated its webpage on adding a new sub-fund to an umbrella scheme in the temporary marketing permissions regime (TMPR)...more

Dechert LLP

Overview of the EU Shareholder Rights Directive II

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What is the law? Directive (EU) 2017/828 (“SRD II”), amending the Shareholder Rights Directive (2007/36/EC), came into force on 9 June 2017 [link]. SRD II introduced new transparency obligations on “institutional...more

Proskauer Rose LLP

European ESG Disclosure Requirements for Asset Managers

Proskauer Rose LLP on

A new European regime on sustainability-related disclosures in the financial sector will come into force from March 2021, after first being announced in 2018 during the European Commission’s Action Plan on Sustainable...more

Dechert LLP

ESG Snapshot: Overview of the ESG Driven Amendments to AIFMD and the UCITS Directive

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What is the law/regulation? As part of a number of regulatory initiatives being implemented in the European Union, under its action plan for financing sustainable growth, proposed amendments to AIFMD  and the UCITS Directive...more

Latham & Watkins LLP

Key Emerging Regulatory Issues and Focus Areas for Institutional Asset Managers

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This publication maps out key current areas of legal or regulatory change that are of specific relevance for institutional asset managers. These focus areas are arranged thematically, by those that affect managers or...more

A&O Shearman

UK Conduct Regulator Discusses Enhanced Liquidity Requirements for UCITS

A&O Shearman on

Andrew Bailey, the Chief Executive of the U.K. Financial Conduct Authority, has written to Lord Myners of the House of Lords concerning the establishment of U.K. requirements for liquidity standards for Undertakings for...more

Dechert LLP

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

Dechert LLP on

AIFMD – ESMA issues draft guidelines on liquidity stress testing in UCITS and AIFs - On February 5, ESMA issued a consultation paper on issuing liquidity stress test guidance for investment funds. The draft guidelines aim...more

Dechert LLP

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

Dechert LLP

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

Dechert LLP on

FCA Opens Notification Window for Passported EU Firms and Funds under No-Deal Brexit Temporary Permissions Regime - The FCA has announced that the notification window for passported EU ex-UK firms and funds wishing to...more

Dechert LLP

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 direction confirming the notification process under its post-Brexit temporary permissions regime - As previously reported, the UK government and the FCA are proposing to implement a Temporary Permissions Regime...more

Dechert LLP

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

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FCA Consults on Rules for Post-Brexit Temporary Permissions Regime for Incoming EEA Firms and Funds - The UK government is proposing to implement a “temporary permissions regime” to cover “inbound” European Economic Area...more

Dechert LLP

Financial Services Quarterly Report - Third Quarter 2018: Developments in the Luxembourg Financial Sector

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Luxembourg has transposed MiFID II into its national law, albeit five months after the deadline for doing so. In other matters, the Luxembourg supervisory authority, the Commission de Surveillance du Secteur Financier (CSSF)...more

Katten Muchin Rosenman LLP

GDPR—One Month to Go: Considerations for US Asset Managers

The European Union's General Data Protection Regulation (GDPR)1 will become law in all European Union (EU) and European Economic Area (EEA) member states (including the United Kingdom, notwithstanding Brexit) one month from...more

Dechert LLP

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

Dechert LLP on

AIFMD - Updated MoUs - ESMA updated its table of EEA regulators on 15 March with who has signed MoUs with non-EEA regulators, for the purposes of cross-border marketing of AIFs. Slovenia and Croatia are still to sign up...more

Dechert LLP

Asset Management Regulatory Roundup - January 2018 - Issue 2

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A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details of the publication of delegated regulations under the Benchmark Regulation; a call for...more

Dechert LLP

Asset Management Regulatory Roundup - July 2017 - Issue 1

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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

Dechert LLP

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

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

King & Spalding

Asset managers’ guide to the EU Market Abuse Regulation: will you be compliant on 3 July 2016?

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The EU Market Abuse Regulation (596/2014) (“MAR”) applies from 3 July 2016. This guide is intended as an aid to asset managers in assessing, in the weeks running up to 3 July but also on an ongoing basis, whether amendments...more

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