News & Analysis as of

Alternative Investment Fund Managers Directive (AIFMD) European Union

2017 Annual Update – Bryan Cave Private Funds Practice

by Bryan Cave on

As we move into a new year, we have taken the opportunity to prepare an Annual Update for our investment adviser and private fund clients. This Annual Update reflects on major statutory and regulatory changes from 2016,...more

Corporate and Financial Weekly Digest - Volume XII, Issue 5

SEC/Corporate - SEC Releases Rule 504 Small Entity Compliance Guide for Issuers - The Securities and Exchange Commission recently released a Small Entity Compliance Guide for Issuers, which provides a brief summary...more

UK FCA to Extend AIFMD Annex IV Reporting to Master Funds

by Ropes & Gray LLP on

Non-EU Alternative Investment Fund Managers (AIFMs) that currently complete “Annex IV” regulatory reporting with the FCA in respect of feeder funds are not required to complete the Annex IV report in respect of the master...more

Uncertain Seas: European Financial and Regulatory Developments into 2017

Charting New and Dangerous Waters - Lloyd George and Epictetus may be long gone but their words have much resonance with the events of 2016. The political fallout from the UK’s vote to leave the European Union (“EU”)...more

ESMA Publishes New Methodology for Mandatory Peer Reviews of CCPS Authorization and Supervision Under EMIR

On January 5, 2017, the European Securities and Markets Authority (“ESMA“) published its methodology (ESMA71-1154262120-155) for mandatory peer reviews relating to the authorization and supervision of central counterparties...more

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

by Dechert LLP on

AIFMD – ESMA Updates Q&As and Re-Visits View of Application of Delegation Rules - ESMA issued updated Q&As on 16 November on AIFMD including two new questions and answers on the cross-border marketing of AIFs, clarifying...more

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

by Dechert LLP on

Brexit - House of Commons Library Publishes Briefing Paper on the "Great Repeal Bill" - The House of Commons Library published a briefing paper on 21 November 2016 on Legislating for Brexit, including in particular on...more

Financial Services Quarterly Report - Fourth Quarter 2016: Developments in the Luxembourg Financial Sector

by Dechert LLP on

The Luxembourg financial regulator has published a circular on UCITS depositaries, clarifying the organisational arrangements and other rules provided by Luxembourg’s UCI Law and the EU UCITS Regulation. The circular...more

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

by Dechert LLP on

CP 106: Review of Minimum Competency Code 2011 - The Central Bank has published a Consultation Paper on the Review of the Minimum Competency Code 2011 (CP106). The proposed changes to the minimum competency standards...more

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

by Dechert LLP on

EMIR – European Commission adopts revised rules for reporting to trade repositories under EMIR - The European Commission adopted revised rules for reporting to trade repositories under EMIR on 26 October 2016. The...more

Blog: AIFMD: ESMA Updates Q&As

by Cooley LLP on

The European Securities & Markets Authority has updated its questions and answers on the application of the Alternative Investment Fund Managers Directive. The latest update includes 4 new questions: - Section II:...more

Blog: #Brexit: “passporting”, “3rd-country equivalence”, and related issues

by Cooley LLP on

The UK’s Treasury Committee has published an FCA letter, and the European Parliament has published a briefing paper, about “passporting”, “third-country equivalence”, and a range of related issues....more

Blog: Amending the European Venture Capital & Social Entrepreneurship Funds Regulations to increase investments in SMEs – Part III

by Cooley LLP on

The European institutions have been working on a Regulation that will amend the European Venture Capital Funds Regulation (EuVECA Regulation) and the European Social Entrepreneurship Funds Regulation (EuSEF Regulation), to...more

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

by Dechert LLP on

EMIR – Revised List of CCPs and New Rules to Mitigate Risks in Non-Cleared OTC Derivative Transactions ESMA updated its list on 29 September 2016 of third-country central counterparties recognised to offer services and...more

European Securities and Markets Authority Publishes Final Guidelines on Remuneration Practices 

by Shearman & Sterling LLP on

The European Securities and Markets Authority published two sets of final Guidelines on Sound Remuneration Policies under the Undertakings for Collective Investments in Transferable Securities Directive and the Alternative...more

ESMA Publishes Final UCITS Remuneration Guidelines and Final Amendments to the AIFMD Remuneration Guidelines

Key Points - - ESMA’s UCITS Remuneration Guidelines will apply from 1 January 2017 (subject to certain transitional provisions). - They will affect UCITS Managers and delegates of UCITS Managers conducting...more

Blog: The #AIFMD for non-EU Fund Managers: a brief update on the 3rd-country passport

by Cooley LLP on

Steven Maijoor, chair of the European Securities & Markets Authority (ESMA), has given a brief “update and next steps” report to the Economic and Monetary Affairs Committee of the European Parliament, about ESMA’s work on the...more

Blog: Amending the European Venture Capital & Social Entrepreneurship Funds Regulations to increase investment in SMEs

by Cooley LLP on

The European institutions have been working on a Regulation that will amend the European Venture Capital Funds & European Social Entrepreneurship Funds Regulations, to make it easier for qualifying Alternative Investment...more

Financial Services Regulation Exchange – International Newsletter Issue 30 – September 2016

by DLA Piper on

DLA Piper’s Financial Services International Regulatory team welcomes you to the thirtieth edition of ‘Exchange – International’ – our international newsletter designed to keep you informed of regulatory developments in...more

US Hedge Fund Managers: Accessing Capital and Marketing in Europe

by Dechert LLP on

Recent regulatory change has made the marketing of hedge funds in the European Economic Area (the “EEA”) more involved, particularly for managers based outside the EEA. This appears to have led some US investment advisors to...more

Blog: Amending the European VC Capital & Social Entrepreneurship Funds Regulations to increase investment in SMEs

by Cooley LLP on

In July 2016, the European Commission published proposals to amend the European Venture Capital and Social Entrepreneurship Funds Regulations; and submitted them to the Parliament and Council for possible adoption under the...more

ESMA Advice Extending the AIFMD Passport: Including the United States, Hong Kong, Singapore and Switzerland

by Reed Smith on

On 18 July 2016 the European Securities and Markets Authority (ESMA) published its advice to the European Parliament, the Council and the Commission on the application of the Alternative Investment Fund Managers Directive...more

ESMA Publishes Further Advice on the Application of the AIFMD Passport for Non-EU Jurisdictions

by Dechert LLP on

The European Securities and Markets Authority (“ESMA”) published further advice to the European Parliament, Council and Commission on the extension of the AIFMD passport for non-EU jurisdictions on 18 July 2016. Key...more

Future Marketing Rules for Non-EU Fund Managers in Germany

by Morgan Lewis on

Germany’s private placement rules for funds will change again. On 19 July, the European Securities and Markets Authority (ESMA) published its advice on applying the Alternative Investment Fund Managers Directive (AIFMD)...more

Brexit: Overview of Potential Impact on Derivatives

by Morrison & Foerster LLP on

The process of Brexit will take many years, and the implications for our clients’ businesses will unfold over time. Our MoFo Brexit Task Force is coordinating Brexit-related legal analysis across all of our offices, and...more

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