News & Analysis as of

Alternative Investment Fund Managers Directive (AIFMD)

The EU PRIIPs Regulation for Fund Managers

With the vast majority of European Union (EU) regulatory focus recently having been on the Markets in Financial Instruments Directive (MiFID II), it is important not to overlook the impending implementation of the EU's...more

ESMA Statements on ICO Risks for Firms and Investors

Following the European Securities and Markets Authority‘s (“ESMA“) observation in rapid-growth initial coin offerings (“ICOs“)s, on November 13, 2017, ESMA issued two statements on ICOs. ESMA notes in a statement for firms...more

ESMA Highlights EU Regulatory Rules Applicable to ICOs

by Latham & Watkins LLP on

ESMA has published two statements highlighting ICO risks for investors and EU regulatory rules applicable to issuers and advisors involved with ICOs. The European Securities and Markets Authority (ESMA) published two...more

Asset Management Regulatory Roundup - November 2017 - Issue 10

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on the amendments to the European Venture Capital and Social Entrepreneurship Fund...more

Positive Changes to the EUVECA Regulation

by Goodwin on

When the Alternative Investment Fund Managers’ Directive (AIFMD) arrived, an alternative, lighter touch, regime for venture capital fund managers known as EUVECA was also introduced. The intention of EU legislators was a...more

Regulation Round Up - October 2017

by Proskauer Rose LLP on

3 October - The Prudential Regulator Authority (PRA) published a policy statement on strengthening accountability in banking and changes to senior managers regime (SMR) forms. The changes to the SMR forms will become live on...more

Asset Management Regulatory Roundup - October 2017 - Issue 8

by Dechert LLP on

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

Corporate and Financial Weekly Digest - Volume XII, Issue 39

by Katten Muchin Rosenman LLP on

SEC/CORPORATE - SEC Announces Rule Proposal to Modernize, Simplify and Increase the Accessibility of Required Disclosure - On October 11, the Securities and Exchange Commission issued a press release announcing that it...more

Asset Management Regulatory Roundup - October 2017 - Issue 7

by Dechert LLP on

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

Potential regulatory and transactional impacts for financial institutions

by Dentons on

On 29 March 2017 the UK Government triggered Article 50 of the Treaty on European Union, giving notice to European Council of the EU of its intention to leave the EU and triggering a two year period of withdrawal...more

Regulation Round Up - August 2017

by Proskauer Rose LLP on

2 August - The UK Competition and Markets Authority announced a consultation on proposed revisions to its published guidance on penalty setting in Competition Act 1998 cases....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 and UCITS - ESMA Publishes Updated Q&As - ESMA published updated Q&As on AIFMD and UCITS V on 11 July 2017. The AIFMD Q&As include three new questions and answers on the reporting requirements for...more

Asset Management Regulatory Roundup - July 2017 - Issue 2

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on the updated Q&As published by ESMA in relation to the AIFMD and UCITS, IOSCO's...more

Key Regulatory Topics: Weekly Update - 7 July 2017 – 13 July 2017

by Allen & Overy LLP on

BREXIT - Brexit - EU (Withdrawal) Bill published - On 13 July, the DExEU published the European Union (Withdrawal) Bill (Bill), which: (i) repeals the ECA 1972; (ii) converts EU law into UK law where appropriate; and...more

The Financial Report, Volume 6, Number 13

by DLA Piper on

Discussion and Analysis - Two of our items today focus on remarks by new SEC Chairman Jay Clayton and, if they are any indication of the direction the new Chairman intends to take the Commission, they could go a long way to...more

Corporate and Financial Weekly Digest - Volume XII, Issue 27

BROKER-DEALER - Proposed Rule Change Relating To Revisions To the Definition of Non-public Arbitrator - On July 11, the Financial Industry Regulatory Authority filed a proposed rule amendment to change the definition of...more

ESMA Issues Opinions on Supervisory Convergence in the Areas of Investment Management and Secondary Markets

by Dechert LLP on

The European watchdog has issued its much anticipated opinions on outsourcing/delegation of: (i) fund management companies; (ii) MiFID entities; and (iii) trading venues. This Newsflash focuses on the opinions as they relate...more

So You Want to Market Funds in Europe? Rules of the Road for Accessing Capital in Europe

by Dechert LLP on

Europe is the largest market for fund products after the United States. However, despite the advances of the European single market, there remains a confusing combination of pan-European and country specific rules governing...more

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

by Dechert LLP on

Discussion Paper on ETFs Published by the Central Bank - The Central Bank has published this Discussion Paper about Exchange traded Funds (ETFs). It notes that Ireland is the largest European centre for Exchanged Traded...more

MiFID II for Non-EU Fund Managers

by Shearman & Sterling LLP on

The revised EU Markets in Financial Instruments package—known as MiFID II—takes effect on January 3, 2018. New rules on trading inducements, research, best execution, market transparency and the regulation of algorithmic...more

EU27 Regulators Ordered to Hold Firm Line on UK Firms’ Post-Brexit Applications for Single Market Access

One likely impact of the decision of the United Kingdom (UK) to leave the European Union (EU) is that the UK’s financial services industry will lose automatic rights of access to the EU’s free trade area (the Single Market)...more

Regulation Round Up - May 2017

by Proskauer Rose LLP on

2 May - The FCA published its Policy Statement on the FCA's disclosure rules following application of PRIIPs Regulation (PS17/6). The Policy Statement sets out how the FCA's disclosure requirements will change to reflect...more

Securities Financing Transactions Regulation—Update

Regulation (EU) 2015/2365, the Securities Financing Transactions Regulation (SFTR), imposes a number of requirements on EU fund managers (see the previous Akin Gump client alert on SFTR, The New Securities Financing...more

What to Know About Increased AIFMD Reporting Requirements in the UK

by Proskauer Rose LLP on

On 29 June 2017, changes to the UK’s Financial Conduct Authority’s rules and guidance on Annex IV reporting under the Alternative Investment Fund Managers Directive (AIFMD) will come into effect....more

Brexit: Financial Services Firms: Appendix

by White & Case LLP on

This appendix contains a brief description of the key EU financial services directives (excluding the insurance sector) which create the core regulatory framework within which financial services firms principally operate as...more

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