News & Analysis as of

European Securities and Markets Authority (ESMA) Alternative Investment Fund Manager Compliance

Goodwin

What DORA Means for Fund Managers

Goodwin on

Q: What is DORA? “DORA” stands for the Digital Operational Resilience Act, an EU regulation that creates a new framework for the EU financial sector with regard to information and communications technology (ICT)....more

Dechert LLP

EMIR ALERT: EMIR REFIT – 19 days to go…

Dechert LLP on

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

Dechert LLP

MiFID II: The Next Big Challenge - Key Issues for Asset Managers

Dechert LLP on

Background - The Markets in Financial Instruments Directive (“MiFID II”) and the related Regulation (“MiFIR”) is the next big rewrite of EU legislation, due to take effect at the beginning of 2017. Although its greatest...more

Katten Muchin Rosenman LLP

ESMA Recommends to the European Commission That All MiFID Firms Have a Full-Time Compliance Function

The European Securities and Markets Authority’s (ESMA’s) final advice to the European Commission, which may (if the European Commission concurs) be transposed into new rules under the revised and re-cast Markets in Financial...more

Katten Muchin Rosenman LLP

ESMA Publishes Guidelines on Reporting Obligations Under the AIFMD

On August 8, the European Securities and Markets Authority (ESMA) published official translations of its Guidelines on Reporting Obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the Alternative Investment Fund...more

King & Spalding

The Alternative Investment Fund Managers Directive—a guide for US managers

King & Spalding on

The EU Alternative Investment Fund Managers Directive (AIFMD) has now been in force for some six months. This overview note is aimed at US managers who have not yet had to get to grips with the AIFMD but will need to raise...more

Dechert LLP

Financial Services Quarterly Report - Fourth Quarter 2013: Leveling the Playing Field: Recent Developments in Benchmarks...

Dechert LLP on

The individuals and entities responsible for setting financial market reference rates or, more broadly, financial benchmarks, have not historically been subject to extensive regulation. Recent misconduct by banks with regard...more

Orrick - Finance 20/20

ESA Issues ESMA and EBA Consultation for Securities and Banking Complaints Handling

Orrick - Finance 20/20 on

On November 6, the Joint Committee of the European Supervisory Authorities (ESAs) issued a consultation paper by the European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) concerning draft...more

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