With under six months to go until the European Union Digital Operational Resilience Act (DORA) becomes applicable on 17 January 2025, DORA implementation projects are running full steam ahead. DORA lays down uniform...more
8/5/2024
/ Banking Sector ,
Banks ,
EU ,
European Central Bank ,
European Supervisory Authorities (ESAs) ,
Financial Institutions ,
Financial Services Industry ,
Information Technology ,
Investment Firms ,
Regulatory Oversight ,
Risk Assessment ,
Risk Mitigation ,
Software ,
Third-Party Service Provider ,
UK
Commencing on 1 January 2018, European and non-European entities or persons producing or selling packaged retail investment and insurance-based products (so-called PRIIPs) to retail investors in Europe, will be required under...more
On 23 July 2015, the European Securities and Markets Authority (ESMA) launched a consultation on proposed guidelines on sound remuneration policies under the EU’s UCITS V Directive (the UCITS Remuneration Guidelines) and the...more
10/26/2015
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Capital Requirements ,
Disclosure ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Institutions ,
Financial Markets ,
Investment Funds ,
Investment Management ,
Proposed Standards ,
Remuneration ,
UCITS
Changes to the UCITS Directive (known as “UCITS V”) were published in the Official Journal of the European Union and came into force on 17 September 2014. EU Member States are required to transpose UCITS V into national law...more
10/15/2015
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Banking Sector ,
Banks ,
Bernie Madoff ,
Compliance ,
Consumer Financial Products ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Institutions ,
Financial Instruments ,
Financial Markets ,
Hedge Funds ,
Investment ,
Investment Adviser ,
Investment Management ,
Investors ,
Lehman Brothers ,
Member State ,
Regulatory Standards ,
Risk Management ,
UCITS