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Key developments in May 2024: ESG: The Financial Conduct Authority (“FCA”) updated its webpage on the sustainability disclosure requirements (“SDR”) and investments labelling regime. Among other things, the webpage has been...more
The Canadian Securities Administrators (“CSA”) have proposed amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (“NI 31-103”) and changes to its companion policy...more
On 24 May 2023, the European Commission (the "Commission") adopted and published its retail investment strategy ("RIS") a key tenet of its Capital Markets Union Action Plan (the "CMU Action Plan"). One of the core objectives...more
The European Long-Term Investment Fund (ELTIF), a collective investment framework for both professional and retail investors looking to invest in long-term assets, has been available to EU managers since December 2015. ...more
On February 7, 2023, the Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) published its examination priorities for the upcoming year. The published priorities reflect the Division’s...more
The UK Secondary Capital Raising Review, led by Mark Austin, has published its proposals on how to how to improve capital raising processes in the UK after IPO. Initial findings include increasing the pre-emption thresholds...more
The Commission’s rule writing calendar may be about to have a meltdown. The agency is considering a number of significant rule writing-proposals covering important areas. A number of those proposals are controversial,...more
Broad reform to listing regimes, growing ESG scrutiny, and increasing retail participation in fundraisings are among the areas to watch. Last year was memorable for UK equity capital markets (ECM). The IPO market was at...more
On March 3, the U.S. Securities and Exchange Commission announced its examination priorities for 2021, providing a much-anticipated glimpse into the Biden administration's overall priorities for white collar criminal...more
In a new paper, Alternative Venture Capital: The New Unicorn Investors, professor Anat Alon-Beck explores the rise of alternative venture capital (AVC) investors and the ways in which these investors are affecting unicorn...more
The Increasing Investor Opportunities Act (IIOA), introduced on November 19, 2020, by U.S. Representative Anthony Gonzalez (R-OH), aims to expand closed-end fund participation in private funds. The IIOA, among other things,...more
MAS confirms regulatory approach for best execution and timeline for compliance. On 3 September 2020, the Monetary Authority of Singapore (the MAS) issued a response to feedback about its proposal for holders of a capital...more
Market participants must treat clients fairly and exercise care when recommending potentially volatile or illiquid products. In response to ongoing volatility in local and international markets caused by the COVID-19...more
The European Commission’s High-Level Forum on the Capital Markets Union has published an interim report setting out its vision for the future of European capital markets. The CMU is an EU initiative which aims to enhance...more
The International Organization of Securities Commissions has published its annual work program, setting out its priorities for 2020. IOSCO will continue to focus on the five areas identified by its Board in 2019 as well as...more
BROKER-DEALER - SEC Requests Public Comment on Improving Private Security Offering Exemptions - On June 18, the Securities and Exchange Commission requested public comment on ways to simply harmonize and improve the...more
The Securities and Exchange Commission recently released its Strategic Plan for fiscal years 2018 to 2022. The plan identifies three goals. ...more
In his most recent testimony in Congress, the Securities and Exchange Commission Chair once again focused on retail investors. Chair Clayton cited a number of statistics regarding the level of retail participation in the...more
Yesterday, the SEC released for public comment a draft of its proposed strategic plan, which outlines the SEC’s priorities through FY 2022. The plan identifies three strategic goals related to investors, innovation and SEC...more
The Paris office of Hogan Lovells is pleased to provide this English language edition of our monthly e-newsletter, which offers a legal and regulatory update covering France and Europe for February 2018. ...more
BREXIT - UK Government response to HoC Treasury Committee report on transitional arrangements - On 27 February, the HoC Treasury Committee published the UK government's response to the Committee's report on transitional...more
Europe is the largest market for fund products after the United States. However, despite the advances of the European single market, there remains a confusing combination of pan-European and country specific rules governing...more
At the 7th trilogue meeting held in Strasbourg on 30 May 2017 among representatives of the European Parliament, Council of Ministers and Commission, agreement was reached in principle on an EU regulatory framework for simple,...more
On January 11, 2016, the Securities and Exchange Commission (the “SEC”) identified selected 2016 examination priorities of the Office of Compliance Inspections and Examinations (“OCIE”). The priorities reflect certain...more
Each year, FINRA and the SEC publish their priority letters explaining areas of focus for the upcoming year. The priorities reflect practices and/or products that are perceived to present either heightened risk to investors,...more