ESMA has issued a stark reminder that reverse solicitation, where it can be used, has to be carefully managed and documented, and is an area of regulatory scrutiny and focus. This short note also takes stock on the EU27...more
1/14/2021
/ AIFM ,
AIFMD Passport ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Corporate Governance ,
EU ,
EU Passport ,
European Economic Area (EEA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
MiFID II ,
Private Placements ,
Reverse Solicitation ,
Trade Agreements ,
UK
What is it?
The EU has finalised and issued a new framework for the prudential regulation of investment firms. It will set new classification for investment firms that will in turn determine which of the new capital...more
12/2/2019
/ AIFM ,
Banking Sector ,
Capital Requirements ,
Capital Requirements Directive IV (CRDIV) ,
Capital Requirements Regulation (CRR) ,
EU ,
European Banking Authority (EBA) ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Investment Firms ,
Investment Management ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Regulation Technical Standards (RTS) ,
UCITS ,
UK Brexit
Welcome to our Funds First Update. Whilst a lot of focus at present is on Brexit and the uncertainties surrounding that process, there have been a great many other developments in the past few months that are of relevance to...more
2/28/2019
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Anti-Money Laundering ,
Capital Gains ,
Corporate Governance ,
EU ,
Financial Services Industry ,
Investment Funds ,
Liquidity Coverage Ratio ,
MiFID II ,
MLD5 ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
SMCR ,
UK ,
UK Brexit