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European Undertakings for Collective Investment in Transferable Securities EU Benchmark Regulation

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Central Bank of Ireland’s Thematic Review on Closet Indexing: A Shot Across the Bows for UCITS Boards?

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The Central Bank of Ireland (the “Central Bank”) on 18 July 2019 published a ‘Dear Chair’ letter to the industry (the “Industry Letter”) highlighting the key supervisory issues identified in a thematic review of Irish...more

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

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European Commission Publishes Legislative Proposals on Sustainable Finance Which Impacts Asset Managers The EU Commission presented a package of measures on 24 May 2018, as a follow-up to its action plan on financing...more

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Asset Management Regulatory Roundup - February 2018 - Issue 4

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A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details of an FCA report on algorithmic trading; the publication of the FSMA (Benchmarks)...more

Broker-Dealer Compliance + Regulation

Uncertain Seas: European Financial and Regulatory Developments into 2017

Charting New and Dangerous Waters - Lloyd George and Epictetus may be long gone but their words have much resonance with the events of 2016. The political fallout from the UK’s vote to leave the European Union (“EU”)...more

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