News & Analysis as of

Packaged Retail And Insurance-Based Investment Products (PRIIPS)

March 2018 Private Banking Newsletter: Issues Impacting the Private Bank Sector

by Latham & Watkins LLP on

On 23 February 2018, the FCA published a Policy Statement with new perimeter guidance on what amounts to a personal recommendation in relation to advising on retail investments. The guidance came into effect on the same...more

IDD implementation in Italy: a step forward

by DLA Piper on

On 8 February 2018, the Italian Council of Ministries published a press release regarding the approval of the text of the draft of the legislative decree aimed at implementing EU Directive no. 97/2016 (IDD)....more

Are You KID-ing New EU Rules Require Information Documents to Be Supplied to Retail Investors

by Morgan Lewis on

The EU regulation on key information documents (KIDs) for packaged retail and insurance-based products (PRIIPs) took direct effect in the European Union on 1 January 2018. This LawFlash outlines at a high level the...more

Corporate Insurance Newsletter – January 2018

by Hogan Lovells on

The Hogan Lovells’ Corporate Insurance Newsletter for January has been published. This provides a round-up of UK, EU and international regulatory developments relevant to UK based insurance market participants. Please...more

Asset Management Regulatory Roundup - February 2018 - Issue 3

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details of the situation for financial services rules and regulations during the Brexit...more

UK Financial Conduct Authority Provides Reassurance for Manufacturers of Packaged Retail and Insurance-based Investment Products

by Shearman & Sterling LLP on

The UK Financial Conduct Authority has issued a public statement on the Packaged Retail and Insurance-based Investment Products Regulation, which took effect on January 1, 2018....more

Regulation Round Up - January 2018

by Proskauer Rose LLP on

1 January - The Packaged Retail and Insurance-based Investment Products ("PRIIPs") Regulation (1286/2014) (the "PRIIPs Regulation") came into force on 1 January 2018. This includes an obligation on PRIIP manufacturers 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

New edition of UCITS and AIFMD Q&As published by the Central Bank - The Central Bank recently published the 28th edition of AIFMD Q&A on the 2 January 2018. A number of new questions have been answered regarding the PRIIPS...more

Corporate and Financial Weekly Digest, Featuring Topics on Broker-Dealer, Derivatives, CFTC and UK/EU Developments

BROKER-DEALER - FINRA Proposes Rule Change Related to the Content of the Securities Industry Essentials Examination - On January 12, the Financial Industry Regulatory Authority (FINRA) filed with the Securities and...more

Spain: Obligation to provide the KID vs lack of obligation to provide the PID

by Hogan Lovells on

The European Union (the ”EU”) packaged retail and insurance-based investment products (PRIIPs) Regulation (the ”PRIIPs Regulation”) is applicable throughout the EU from 1 January 2018. ...more

Financial Services Weekly News - January 2018

by Goodwin on

Editor's Note - A Busy Holiday Season. We hope that all of you had a happy holiday season and wish everyone a happy, healthy and prosperous new year. While the Roundup has been on hiatus during the holidays, the federal...more

Regulation Round Up - December 2017

by Proskauer Rose LLP on

1 December - The Financial Conduct Authority (FCA) published its 19th quarterly consultation paper (CP17/39). The proposed changes to the FCA Rules include changes to the FCA's Decision Procedure and Penalties manual,...more

UK Regulations on Packaged Retail and Insurance-based Investment Products Published

by Shearman & Sterling LLP on

The Packaged Retail and Insurance-based Investment Products Regulations 2017 have been published and will enter into force on January 1, 2018....more

Reed Smith International RCOM Quarterly - Issue 1 – December 2017

by Reed Smith on

As global regulatory challenges mount – and cooperation between domestic regimes continues to proliferate – this publication is both timely and necessary. Our authors apply their experience in advising clients on complex risk...more

Structured Thoughts: News for the financial services community, Volume 8, Issue 9

Structured Product Red Herrings: Rule 433 and Rule 424(b) - Red herrings for most offerings of structured products registered with the Securities and Exchange Commission (the “SEC”) under the Securities Act of 1933, as...more

The EU PRIIPS Regulation: What EU and Non-EU Managers Need to Know

by Goodwin on

Many managers may have assumed that the EU PRIIPS Regulation (the Regulation) does not apply to them because they do not generally raise capital from retail investors. Because, however, of the wide definition of “retail...more

Regulation in 2018: What’s your compliance approach?

Even by recent standards, 2018 should be quite a year for regulation. How will those on the data management front-line ensure compliance with EU Benchmarks Regulation, MiFID II, FRTB, GDPR or PRIIPs in a cost-efficient way?...more

Corporate Insurance Newsletter – November 2017

by Hogan Lovells on

The Hogan Lovells’ Corporate Insurance Newsletter for November has been published. This provides a round-up of UK, EU and international regulatory developments relevant to UK based insurance market participants. Please...more

Regulation Round Up - November 2017

by Proskauer Rose LLP on

3 November - The Financial Conduct Authority (FCA) published an alert setting out key considerations for principals who have appointed representatives or introducer appointed representatives. Among other things, the alert...more

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

Asset Management Regulatory Roundup - November 2017 - Issue 11

by Dechert LLP on

A compact summary of the most recent regulatory and tax developments relevant to the UK asset management industry. This issue includes details on ESMA’s updated Q&As on the key information document requirements for PRIIPs;...more

EU PRIIPs Regulation – Relevance to Fund Managers Explained

by Proskauer Rose LLP on

Background - On 1 January 2018, European Union (EU) Regulation (No 1286/2014)[1] on key information documents for packaged retail and insurance-based investment products (PRIIPs) comes into force. It will require that a...more

MiFID II and PRIIPs: The final countdown begins

by Dechert LLP on

It is now only two months until the 3 January 2018 compliance deadline for the revised Markets in Financial Instruments Directive (MiFID II) and the 1 January 2018 compliance deadline for the EU Packaged Retail Investment and...more

An Update on the Regulation on Key Information Documents for Packaged Retail and Insurance-Based Investment: Key Points for EU and...

by Dechert LLP on

In addition to the challenges of MiFID II, asset managers must also prepare for a new key information document regime for retail products. The Regulation on key information documents for packaged retail and insurance-based...more

Asset Management Regulatory Roundup - November 2017 - Issue 9

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 SEC’s no action letters and Commission’s FAQs on “hard dollar” research payments under...more

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