Asset Management & Investmentfonds


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  • Podcast 632: How should businesses prepare for GDPR? Privacy impact assessments

    Video Podcast

    Veröffentlicht: 23 April 2018

    Privacy impact assessments will be required where a company engages in high risk processing. This podcast looks at what to cover in and how to run privacy impact assessments.

  • Senior Managers and Certification Regime Extension


    Zuletzt geprüft: 18 April 2018 / Veröffentlicht: 23 March 2016

    A practical guide to preparing for the proposed extension of the senior managers and certification regime to all FMSA authorised persons.

  • SEC Regulation outside the US


    Veranstaltungsdatum: 18 June 2018

    We will again be hosting SEC Regulation outside the US on 18-20 June 2018. SEC Regulation outside the US is now in its 21st year and is the only event of its kind to offer delegates a thorough understanding of the complexities and nuances of the legislative processes and how SEC practices can affect your business.

  • FCA Business Plan 2018/2019


    Veröffentlicht: 17 April 2018

    ​A quick overview of the new FCA business plan for 2018/19.

  • Podcast 631: How should businesses prepare for GDPR? Development of a record of processing activities

    Video Podcast

    Veröffentlicht: 16 April 2018

    One of the new GDPR requirements is creating and maintaining a record of processing activities. This podcast deals with how to create and maintain that record.

  • (Still) Wanted! 480 Independent NEDs for Authorised Fund Managers


    Veröffentlicht: 13 April 2018

    The FCA has published a Policy Statement (PS18/8) which implements the first set of remedies outlined in the Final Report (MS15/2.3) following the Asset Management Market Study published on 28 June 2017. These remedies have been the subject of a formal consultation process (CP17/18). Below we comment on the governance aspects of PS18/8. The FCA has also published a further Consultation Paper (CP18/9) which focuses on information provided to investors on fund objectives and the use of benchmarks.

  • Key SMCR takeaways from the FCA and PRA Business Plans


    Veröffentlicht: 13 April 2018

    ​A summary of the key takeaways from the FCA and PRA Business Plans for 2018/2019 in relation to the extension of the Senior Managers & Certification Regime (SMCR).

  • LLP Agreements and Shareholders' Agreements: "same same but different"?


    Veröffentlicht: 12 April 2018

    The commercial purpose of a company and a limited liability partnership (LLP) is often, in essence, the same: to serve as a vehicle through which a business is operated. So, temptation naturally abounds to apply the same commercial concepts to both LLP Agreements and Shareholders’ Agreements. Is this approach dangerous?

  • SFTR Project Plan


    Zuletzt geprüft: 12 April 2018 / Veröffentlicht: 30 June 2016

    SFTR Project Plan for full scope UK AIFMs, UCITS management companies/investment companies.

  • New EU regulation on securities financing transactions and collateral reuse


    Zuletzt geprüft: 12 April 2018 / Veröffentlicht: 30 October 2015

    This article discusses the Securities Financing Transactions Regulation (SFTR) which introduces new trade repository reporting requirements, new requirements in relation to collateral reuse arrangements and new transparency and disclosure obligations for UCITS and AIFs.

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