News & Analysis as of

UCITS V

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

Direct Lending Funds in Germany- Proposed Compliance Guidelines

by Dechert LLP on

As summarized in previous Dechert OnPoints, Germany has introduced a framework for direct lending funds in March 2016 by enacting the UCITS V Implementation Act (the "Act"). The changes implemented by the Act also allowed...more

ESMA Publishes Guidelines for UCITS V Remuneration Policy

by Morgan Lewis on

The guidelines, which apply from 1 January 2017, seek to clarify the concepts of disclosure, governance, and risk alignment in respect of remuneration; in advance of this date, non-EU investment managers of UCITS should...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: UK Votes to Leave EU - The 23 June 2016 referendum on the UK’s continued membership of the EU resulted in a vote to leave the EU. Under the EU Treaty, the exit process should take at least two years. During...more

UK Financial Regulatory Developments - May 2016 #17

by Dentons on

FCA publishes findings on de-risking - FCA has published the findings of the report it commissioned into the nature and scale of de-risking in the UK banking system. The report determined that...more

UK Regulator Consults on UCITS, SFTR and consequential Changes to the Handbook

by Shearman & Sterling LLP on

The Financial Conduct Authority published a consultation paper outlining proposed changes to the rules and guidance in the Client Assets sourcebook and the Collective Investment Schemes sourcebook (COLL), following the...more

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

by Dechert LLP on

Direct Lending by French Funds - The Autorité des Marchés Financiers (the French financial markets regulator, the “AMF”) has published on 1 April 2016 the results from the public consultation organized at the end of last...more

Corporate and Financial Weekly Digest - Volume XI, Issue 14

BROKER-DEALER - SEC Approves FINRA’s Proposed Expansion of Supplement Schedule for Derivatives and Off-Balance Sheet Items - On April 5, the Financial Industry Regulatory Authority released Regulatory Notice 16-11...more

Financial Regulatory Developments Focus - March 2016 #4

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Final EU Legislation on Obligations of Depositaries Under UCITS V

by Shearman & Sterling LLP on

Commission Delegated Regulation with regard to obligations of depositaries was published in the Official Journal of the European Union. The Undertakings for Collective Investment in Transferable Securities (UCITS V) Directive...more

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

by Dechert LLP on

Latest Statistics Regarding Luxembourg UCITS - ALFI (the Luxembourg Fund Association) released figures outlining the footprint of Luxembourg domiciled UCITS on 9 March 2016, showing the volume of assets under management...more

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

by Dechert LLP on

Central Bank Letter Regarding Conflict of Interest (“COI”) Risks in Investment Firms - The Central Bank issued a letter (the “Letter”) to all investment firms providing feedback on the findings of their thematic...more

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