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Investment Management Consultation

Goodwin

Sustainability Disclosure Rules in the UK: Extending the FCA’s Regime to Portfolio Managers

Goodwin on

In our previous alert The FCA’s Sustainability Disclosure Requirements and Labelling Regime (SDR): A Flexible Regime for UK Private Fund Managers, we examined the final framework under policy statement PS23/16, on...more

Akin Gump Strauss Hauer & Feld LLP

SFC Issues Consultation Conclusions on the Management and Disclosure of Climate-related Risks by Fund Managers

Key Points - The Fund Manager Code of Conduct will be amended to require fund managers managing collective investment schemes to take climate-related risks into consideration in their investment and risk management...more

A&O Shearman

UK Competition Authority Consults on Proposed Remedies to Adverse Competition in the Investment Consultancy and Fiduciary...

A&O Shearman on

The U.K. Competition and Markets Authority has published a Provisional Decision Report in respect of the Investment Consultants Market Investigation in which it is assessing the supply and acquisition of investment...more

Stinson - Corporate & Securities Law Blog

SEC Tags Private Equity Group for Accelerated Fees

The SEC entered into an agreed settlement with a private equity group for receiving accelerated fees without the consent of all necessary parties prior to the commitment of capital....more

Akin Gump Strauss Hauer & Feld LLP

Financial Conduct Authority Publishes New Consultation Paper on MiFID II

On 16 December 2016, the Financial Conduct Authority (FCA) published its final Consultation Paper on the implementation of the second Markets in Financial Instruments Directive (MiFID II) (CP16/43). This follows three...more

Dechert LLP

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

Dechert LLP on

Corporate Governance for Investment Firms - The Central Bank has issued a consultation paper regarding the appropriate corporate governance requirements to be applicable to investment firms. The relevant paper, CP 94,...more

Katten Muchin Rosenman LLP

ESMA Consults on Knowledge and Competence Requirements

Under the original EU Markets in Financial Instruments Directive (MiFID) framework, investment firms must ensure that their personnel have the “skills, knowledge and experience” necessary for their particular functions....more

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