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

FCA Opens Notification Window for Passported EU Firms and Funds under No-Deal Brexit Temporary Permissions Regime - The FCA has announced that the notification window for passported EU ex-UK firms and funds wishing to...more

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

UK government publishes Brexit white papers - The UK government has published two white papers, one on the future relationship between the UK and the EU and the other on legislating for the withdrawal agreement between the...more

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

FCA comments on increased use of “Periodic Auctions” after-MiFID II - The FCA has published a webpage on the use of periodic auction platforms as a method for share trading in light of their significantly increased use...more

Asset Management Regulatory Roundup - April 2018 - Issue 7

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details of the FCA’s statement on the implementation period for Brexit; the requirement for firms...more

UK Asset Management Regulatory Roundup - March 2018 - Issue 6

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details of the FCA’s approach to authorisation; action taken on closet tracking funds; proposed EU...more

Asset Management Regulatory Roundup - March 2018 - Issue 5

A compact summary of the most recent regulatory developments relevant to the UK asset management industry.This issue includes details of proposed changes to the Financial Services Register to accommodate the Senior Managers...more

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

FCA issues statements on distributed ledger technology - The FCA published a feedback statement in December 2017 regarding its April 2017 discussion paper on distributed ledger technology (DLT), or blockchain....more

Asset Management Regulatory Roundup - January 2018 - Issue 2

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details of the publication of delegated regulations under the Benchmark Regulation; a call for...more

Asset Management Regulatory Roundup - January 2018 - Issue 1

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details of the matters to be considered by users of financial benchmarks when selecting an...more

MiFID II and PRIIPs: The final countdown begins

It is now only two months until the 3 January 2018 compliance deadline for the revised Markets in Financial Instruments Directive (MiFID II) and the 1 January 2018 compliance deadline for the EU Packaged Retail Investment and...more

An Update on the Regulation on Key Information Documents for Packaged Retail and Insurance-Based Investment: Key Points for EU and...

In addition to the challenges of MiFID II, asset managers must also prepare for a new key information document regime for retail products. The Regulation on key information documents for packaged retail and insurance-based...more

Asset Management Regulatory Roundup - October 2017 - Issue 8

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

Asset Management Regulatory Roundup - October 2017 - Issue 7

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on ESMA's updated Q&As on the Benchmark Regulation and European Commission delegated...more

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

FCA Publishes Draft Rules to Extend the Senior Managers and Certification Regime to all Firms - The FCA published its long-expected consultation paper (CP17/25) on 26 July, with proposed rules to extend the senior managers...more

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

FCA Issues New Guidance on Cyber Resilience and Notification of Cyber Attacks - The FCA published a new page on its website providing informal guidance on cyber resilience on 18 May 2017. Following the recent global...more

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

HM Treasury Finalises Private Fund Changes to Limited Partnerships Act 1907 - As previously reported, HM Treasury published on 16 January 2017, a draft Legislative Reform (Private Fund Limited Partnerships) Order 2016...more

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

FCA Publishes Dealing Commission Review Findings - The FCA have published their findings from a review that analysed dealing commission expenditure across 31 investment managers. The policy statement on the use of...more

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

UK Supreme Court Rules UK Parliament Must Approve Brexit Notice to EU - Under Article 50 of the EU Treaty, the process for the UK to leave the EU is commenced by service of a notice on the European Council, which starts...more

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

FCA Publishes Final Rules Removing Certain Ineffective Disclosure Requirements - The FCA published a policy statement on 11 October 2016, removing certain ineffective disclosure requirements from the FCA Handbook...more

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