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Investment Management IOSCO

Goodwin

Horizon Scan for Private Investment Funds: Key Recent and Expected Funds, Regulatory, and Tax Developments to Look Out For

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Welcome to the third edition of our Horizon Scan, where we focus on some of the principal recent and expected developments and changes that we expect to be of interest to those in the private funds and investment management...more

A&O Shearman

International Body Issues Statement on Liquidity Risk Management Recommendations for Investment Funds

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The International Organization of Securities Commissions has issued a statement on its Liquidity Risk Management Recommendations for investment funds. The statement is in response to the U.K.'s Financial Policy Committee's...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest - Volume XIV, Issue 21

BROKER-DEALER - FINRA Issues Regulatory Notice Reminding Member Firms about CAT Reporting Deadlines - On May 21, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 19-19 (Notice), which reminds...more

Akin Gump Strauss Hauer & Feld LLP

Amendments to the Code on Unit Trusts and Mutual Funds

• The revised UT Code came into effect on 1 January 2019, with a 12-month transition period for compliance by funds currently registered with the SFC. • Revised regulatory standards will impact all SFC-authorised funds and...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

CFTC Indicates Willingness to Help Incubate Fintech - On February 21, 2017, J. Christopher Giancarlo, the acting chairman of the U.S. Commodity Futures Trading Commission ("CFTC"), has diverged from other U.S. federal...more

A&O Shearman

International Consultation on Good Practices for Fees and Expenses Collective for Investment Schemes 

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The International Organization of Securities Commissions published a final report outlining good practices on fees and expenses for collective investment schemes. The report is aimed only at CISs whose shares or units are...more

Katten Muchin Rosenman LLP

ESMA Consultation on New Remuneration Rules for EU UCITS Managers and EU AIFMs

On July 23, the European Securities and Markets Authority (ESMA) published a consultation paper assessing new guidelines on sound remuneration policies under the UCITS V Directive and the Alternative Investment Fund Managers...more

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