News & Analysis as of

Alternative Investment Fund Managers Directive (AIFMD) Regulatory Standards

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

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

Treasury proposes new disciplinary powers

by Dentons on

Treasury has published draft legislation extending PRA’s and FCA’s disciplinary powers. The changes ensure that relevant powers extend to both PRA and FCA and give FCA new powers in respect of individuals who have knowingly...more

UCITS V Directive—Overview and Practical Implications

by K&L Gates LLP on

Changes to the UCITS Directive (known as “UCITS V”) were published in the Official Journal of the European Union and came into force on 17 September 2014. EU Member States are required to transpose UCITS V into national law...more

UCITS Remuneration Guidelines—Impact On US Managers

The European Securities and Markets Authority (ESMA) issued a consultation paper on 23 July 2015 in respect of the proposed guidelines on remuneration (UCITS Remuneration Guidelines) regarding the remuneration principles...more

Governance & Securities Law Focus: Europe Edition - July 2015

by Shearman & Sterling LLP on

In this issue: - Financial Reporting: Commission Delegated Regulations on Equivalence of Certain Third Country National GAAPs to IFRS - Proxy Advisers: ESMA Consultation on Best Practise Principles for Voting...more

Investment Management Update - January 2015

by Pepper Hamilton LLP on

Investment Management Update - January 2015 This podcast is a recording of the January 2015 webinar that Pepper partner Gregory J. Nowak participated on for West LegalEdcenter. Mr. Nowak discussed a regulatory outlook...more

ESMA Publishes Opinion on Draft Regulatory Technical Standards Under the AIFMD

On August 20, the European Securities and Markets Authority (ESMA) published the opinion it submitted to the European Commission about draft regulatory technical standards (RTS) required under Article 4(4) of the Alternative...more

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Cybersecurity

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