This latest edition of the regulatory initiatives paper sets out at a high level the core regulatory issues that are likely to impact private fund managers in the coming months, including an overview of the key actions needed...more
9/22/2022
/ Alternative Reference Rates Committee (ARRC) ,
AML/CFT ,
Anti-Money Laundering ,
Beneficial Owner ,
CFTC ,
China ,
Climate Change ,
Commission Delegated Regulation ,
Coronavirus/COVID-19 ,
Cryptoassets ,
Custody Rule ,
Cybersecurity ,
Digital Currency ,
Disclosure Requirements ,
Diversity and Inclusion Standards (D&I) ,
Economic Sanctions ,
ELTIF ,
Environmental Social & Governance (ESG) ,
EONIA ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
European Supervisory Authorities (ESAs) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Services Act ,
Form PF ,
FSOC ,
Fund Managers ,
Hedge Funds ,
Hong Kong ,
ICE Benchmark Administration (IBA) ,
Investors ,
Libor ,
MiFID ,
MiFID II ,
Non-Fungible Tokens (NFTs) ,
Private Funds ,
Proposed Amendments ,
Regulatory Standards ,
REIT ,
Rulemaking Process ,
Russia ,
Secured Overnight Funding Rate (SOFR) ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
SFDR ,
Supply Chain ,
Temporary Permissions Regime (TPR) ,
UCITS ,
UK ,
UK Brexit ,
Ukraine
On 25 November 2021, the European Commission (the Commission) adopted a package of measures aimed to deliver on several key commitments in the 2020 Capital Markets Union (CMU) action plan. The package includes four...more
11/30/2021
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Capital Markets ,
Capital Markets Union ,
ELTIF ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Investment Funds ,
MiFIR ,
Proposed Legislation ,
Regulatory Agenda ,
Regulatory Reform ,
UCITS
On 4 February 2021, less than six weeks before the 10 March 2021 date on which the main operative provisions of the Sustainable Finance Disclosure Regulation (SFDR) start to apply, the European Supervisory Authorities (ESAs)...more
MiFID II – ESMA issues statement regarding the impact of a no-deal Brexit on the impact of the "share trading" obligation under Article 23 of MiFIR -
ESMA issued a statement on 19 March 2019 regarding the impact of Brexit...more
4/17/2019
/ Asset Management ,
EMIR ,
EU ,
EU Benchmark Regulation ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Investment Funds ,
MiFID II ,
MiFIR ,
No-Deal Brexit ,
Trade Repositories
MiFID II – updated Q&As on MiFID II and MiFIR transparency topics and obligations on disclosure of information to clients in the context of Brexit -
ESMA updated its Q&As on 4 January on MiFID II and MiFIR transparency...more
2/12/2019
/ Anti-Money Laundering ,
Asset Management ,
Cryptoassets ,
Derivatives ,
EMIR ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Initial Coin Offering (ICOs) ,
International Regulatory Standards ,
Investment Funds ,
MiFID II ,
MiFIR ,
RegTech ,
Transparency ,
UK ,
UK Brexit
AIFMD - ESMA updates AIFMD Memoranda of Understanding ("MoUs") -
ESMA updated its list of MoUs on 17 July 2018, singed the EU regulatory authorities (17 July 2018) – Croatia and Slovenia are still to sign MoUs....more
8/10/2018
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Asset Management ,
CFD Trading ,
EMIR ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Investment Funds ,
Memorandum of Understanding ,
MiFID II ,
MiFIR ,
Pension Schemes ,
UK Brexit
European Commission Publishes Legislative Proposals on Sustainable Finance Which Impacts Asset Managers
The EU Commission presented a package of measures on 24 May 2018, as a follow-up to its action plan on financing...more
6/13/2018
/ Asset Management ,
EMIR ,
EU ,
EU Benchmark Regulation ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Institutional Investors ,
Investment Funds ,
Investor Protection ,
MiFID II ,
MiFIR ,
Popular ,
Short Selling ,
Sustainable Business Practices ,
UCITS
MIFID II – EMSA updates Q&As on commodity derivatives topics and asks European Commission to clarify “ancillary activity” test under MiFID II -
ESMA updated its Q&As on 27 March 2018 on commodity derivatives topics...more
5/16/2018
/ Asset Management ,
CFD Trading ,
Clearing Agencies ,
Commodities ,
Derivatives ,
EMIR ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Investment Funds ,
MiFID II ,
MiFIR ,
Retail Investors