European Undertakings for Collective Investment in Transferable Securities

News & Analysis as of

Blog: Commissioner Hill On The Review Of The EU Regulatory Framework For Financial Services – What Fund Managers Need To Know

European Commissioner Jonathan Hill has delivered a speech at a public hearing on the “‘Call for Evidence’ – a review of the EU regulatory framework for financial services” which could herald good news for fund managers....more

Corporate and Financial Weekly Digest - Volume XI, Issue 19

SEC/CORPORATE - SEC Approves PCAOB Rules Requiring Disclosure of Audit Participants - On May 9, the Securities and Exchange Commission adopted the proposed new rules and related amendments to auditing standards...more

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

AIFMD - Updated Q&A - ESMA published an updated Q&A on the AIFMD on 5 April 2015. The new Q&A address notification requirements relating to additional investment in existing Alternative Investment Funds....more

FCA Assesses Whether Fund Managers are Meeting Investor Expectations

On April 7, 2016, the United Kingdom (UK) Financial Conduct Authority (FCA) published a report (Thematic Review TR16/3: Meeting investors' expectations) (Report) containing its conclusions regarding a thematic review...more

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

CSSF Press Release 16/17 on Global Situation of UCIs and SIFs at the End of February 2016 - CSSF press release 16/17 of 31 March 2016 summarizes the global situation of Undertakings for Collective Investment and...more

New Semi-Annual Reporting of Risk Data Required for Luxembourg-Domiciled UCITS

The Luxembourg supervisory authority (“CSSF”) recently issued a circular letter (“Circular Letter”) that requires all Luxembourg-domiciled UCITS to provide the CSSF with information – pursuant to the filing of additional...more

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

New Irish UCITS V Regulations - The European Communities (Undertaking for Collective Investment in Transferable Securities) (Amendment) Regulations 2016 (S.I. 143 0f 2016 ) (the “Regulations”) which transpose UCITS V...more

UK Financial Regulatory Developments - April 2016 #15

ESAs finalise proposal for RTS on KIDs for PRIIPs - The Joint Committee of the ESAs has finalised its proposal for regulatory technical standards (RTS) on key information documents (KIDs) for packaged retail and...more

European Securities and Markets Authority Discussion on Classes of Undertakings for Collective Investments in Transferable...

The European Securities and Markets Authority published a discussion paper on the recognition of the different share classes offered by Undertakings for Collective Investments in Transferable Securities funds in different EU...more

Financial Conduct Authority Publishes Thematic Review on Investor Expectation Satisfaction

The Financial Conduct Authority published its thematic review on how firms in the fund management sector meet investors' expectations. The FCA considered whether UK authorized investment funds and segregated mandates were...more

UK Financial Regulatory Developments - April 2016 #10

ESMA updates MAD Q&A - ESMA has published an updated version of its Q&A on the common operation of the Market Abuse Directive (MAD). A new question regarding investment recommendations has been added. (Source: ESMA...more

UK Financial Regulatory Developments - April 2016 #9

ESRB extends deadline for recommendations on funding credit institutions - ESRB has published a Recommendation which it adopted concerning changes to the set of recommendations on the funding of credit institutions. EBA...more

Most recent changes to the German regulatory situation for debt funds

Pursuant to recent legislative changes, certain investment funds are now entitled under certain conditions to originate or restructure loans in Germany without the need to obtain a banking licence for lending. Due to the...more

European Securities and Markets Authority Joins European Banking Authority in Call for Legislative Changes on Application of...

The European Securities and Markets Authority published its final report on Guidelines on the sound remuneration policies under the Units in Collective Undertakings Directive and the Alternative Investment Fund Managers...more

UK Financial Regulatory Developments - April 2016 #4

BoE speaks on international banks - Sarah Breeden spoke on “taming” international banks and how, in particular, the risks these banks pose can be managed in the absence of a single global banking regulator. She looked at...more

Final EU Legislation on Obligations of Depositaries Under UCITS V

Commission Delegated Regulation with regard to obligations of depositaries was published in the Official Journal of the European Union. The Undertakings for Collective Investment in Transferable Securities (UCITS V) Directive...more

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

UCITS Regulations 2016 Published - The Undertakings for Collective Investment in Transferable Securities Regulations 2016 (SI 2016/225) were published on 25 February 2016. These implement provisions of the UCITS V...more

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

Latest Statistics Regarding Luxembourg UCITS - ALFI (the Luxembourg Fund Association) released figures outlining the footprint of Luxembourg domiciled UCITS on 9 March 2016, showing the volume of assets under management...more

Brexit: What does it mean for asset managers?

The European Union (EU) is made up of 28 member states committed, through a series of treaties, to ever closer economic and political union. As such it exercises considerable power, both internally and internationally. It is...more

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

Investment Statistics as of 31 January 2016 - The German Investment Fund Association BVI issued its latest investment statistics report dated 31 January 2016, giving an overview of the net assets and net sales within the...more

Financial Services Sector Implications of ‘Brexit’

Should Britain decide to leave both the EU and EEA as a result of a “Brexit” vote on 23 June 2016, the impact on UK and EU financial services firms could be significant. The City of London is Europe’s key financial...more

UK Government Publishes Implementing Regulations for UCITS V

On February 25, the UK government published the Undertakings for Collective Investment in Transferable Securities Regulations 2016 (Regulations) along with an explanatory memorandum and transposition table. The Regulations...more

UK Financial Regulatory Developments - March 2016 #4

Treasury Committee scrutinises appointments - The House of Commons Treasury Committee has published its eighth report of session 2015/16 on the scrutiny of appointments. It covers the appointments of various chairs and...more

Brexit: What does it mean for companies doing business in the UK?

The fate of the United Kingdom’s membership of the European Union hangs in the balance. Britons are due to go to the polls to vote in a referendum on 23rd June 2016 to decide whether the UK should remain a member of the...more

Corporate and Financial Weekly Digest - Volume XI, Issue 9

SEC/CORPORATE - SEC Chair Addresses Advisory Committee on Small and Emerging Companies - On February 25, Securities and Exchange Commission Chair Mary Jo White addressed members of the SEC’s Advisory Committee on...more

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