This White Paper highlights the legal and regulatory considerations in the United States, the United Kingdom, the European Union, Hong Kong, and Singapore that asset managers and their institutional investor clients should...more
9/10/2020
/ Best Practices ,
Business Plans ,
Business Strategies ,
Capital Investments ,
Corporate Governance ,
Corporate Social Responsibility ,
Environmental Social & Governance (ESG) ,
Investment Funds ,
Investment Management ,
Publicly-Traded Companies ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC) ,
Sustainability
The European Commission (the Commission) has made sustainable finance an express initiative within its overall plans to strengthen capital markets in the European Union. In July 2018, the Commission sought advice from the...more
Following an assessment by the European Commission (the Commission) of how the European Market Infrastructure Regulation (EMIR) has been working since it entered into force on 16 August 2012 and the phasing in of its various...more
The proposals pave the way for the integration of environmental, social, and governance considerations into the day-to-day thinking of financial services firms....more
The Financial Conduct Authority has published a Consultation Paper containing its proposals to expand the Senior Managers and Certification Regime to all FSMA-authorised firms; the window for providing comments to the FCA...more
The MiFID II regime will have significant ramifications for US investment managers and their use of client commissions to obtain research—especially as cross-border impacts have yet to be addressed by global regulators....more
The guidelines, which apply from 1 January 2017, seek to clarify the concepts of disclosure, governance, and risk alignment in respect of remuneration; in advance of this date, non-EU investment managers of UCITS should...more
9/7/2016
/ Compensation & Benefits ,
CRD IV Directive ,
Disclosure Requirements ,
EU ,
European Securities and Markets Authority (ESMA) ,
Final Guidance ,
Governance Standards ,
Investment Management ,
MiFID ,
Remuneration ,
UCITS V
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
3/9/2016
/ Alternative Investment Fund Managers Directive (AIFMD) ,
EU ,
European Banking Authority (EBA) ,
European Economic Area (EEA) ,
Financial Services Industry ,
Investment Management ,
MiFID ,
Referendums ,
UCITS ,
UK ,
UK Brexit