Proskauer - Regulatory & Compliance

Regulation Round Up - November 2023

Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. ...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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Circular of the Central Bank of Luxembourg on statistical data collection for non-regulated AIFs - The Central Bank of Luxembourg published circular BCL 2018/241 entitled “New statistical data collection for non-regulated...more

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Asset Management Regulatory Roundup - February 2018 - 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 of an FCA report on algorithmic trading; the publication of the FSMA (Benchmarks)...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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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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Financial Services Quarterly Report - Fourth Quarter 2015: And a Partridge in a Pear Tree: Top 12 Regulatory Heads-up for the...

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1st Day of Christmas – UCITS V* - The UCITS V Directive (UCITS V) introduces specific provisions on: - (i) eligibility, liability and delegation of depositaries; - (ii) remuneration policies; 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 - 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

Orrick - Finance 20/20

ESMA Discussion Paper on Calculation of Counterparty Risk by UCITS for OTC Derivatives Subject to EMIR Clearing

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On July 23, ESMA published a discussion paper on how the limits on counterparty risk in centrally cleared OTC derivative transactions under the UCITS IV Directive should be calculated, and whether the same rules for both OTC...more

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Financial Services – Update on UK and European Regulatory Developments - May 2013

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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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ESMA’s Final Guidelines on Repurchase and Reverse Repurchase Agreements for UCITS Funds

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The European Securities and Markets Authority (“ESMA”) published final guidelines on repurchase (repo) and reverse repurchase agreements for UCITS funds on 4 December 2012. This is a follow-up to ESMA’s publication in July...more

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