You are here: Home Legal Topics Asset Management Regulated funds
Autumn Legal Business Update October 2017
Submitted: 09 February 2018
Securities and Exchange Commission (SEC) registered investment advisers with a 31 December year end must update Form ADV on or before 31 March 2018.
Submitted: 09 January 2018
On 05 January 2018, the Luxembourg securities regulator, the Commission de Surveillance du Secteur Financier, (CSSF) announced an important change of policy, restricting the ability of Luxembourg UCITS to invest in non-UCITS exchange traded funds (ETFs) and requiring UCITS to disinvest from existing positions as soon as possible.
Submitted: 05 January 2018
This article provides a brief description of the scope and impact of the licence application for depositaries and Alternative Investment Fund Managers (AIFMs).
Submitted: 14 December 2017
Managers claiming exemption or exclusion from CPO or CTA registration under certain CFTC Regulations must affirm their notice of exemption or exclusion by 01 March 2018.
Submitted: 13 December 2017
In a positive move for the local fund industry, Luxembourg has clarified that tax residence certificates for the purposes of double tax treaties are available to reserved alternative investment funds (RAIFs) not investing in risk capital.
Submitted: 12 September 2017
Our briefing note provides a checklist of the legal agreements and compliance policies likely to be impacted by changes brought in by the UK’s implementation of MiFID2. It sets out our general views on what documentation reviews and updates firms may wish to prioritise.
Submitted: 05 September 2017
Seward & Kissel’s Memorandum looks at the Securities and Exchange Commission’s (SEC) recent amendments to Form ADV and the Investment Advisers Act 1940 (the Advisers Act) which come into force on 01 October 2017.
Submitted: 15 August 2017
A letter from the FCA, outlining how it expects certain MiFID2 requirements to be applied, signals a game-changing departure by the regulator, with potentially significant ramifications for the UK asset management industry.
Last Reviewed: 31 July 2017 / Submitted: 14 December 2011
This microsite is designed to give you access to the UCITS Directives, as well as the materials which implement them in the UK, Luxembourg and Ireland.
Submitted: 12 July 2017
On 11 July 2017, the European Securities and Markets Authority (ESMA) updated its Q&As, “Application of the UCITS Directive” by including two additional questions on (a) issuer concentration and (b) group links and independence.
FS Alerter: UK and EU
Legal Headwinds: Asia
Legal Headwinds: UK/EU
Legal Headwinds: NL/EU
Oversight: Hong Kong
Update my elexica profile
Simmons & Simmons has an alliance with leading US firm Seward & Kissel for hedge fund and asset management work.
To see briefing papers by the Seward & Kissel investment management team on elexica, click here.
Five webinars covering everything you need to know about the Extension of the Senior Managers and Certification Regime (SMCR).
Watch the webinars now
Our dedicated resource for setting up your fund management business. LaunchPlus is designed to help today's emerging hedge fund managers in the UK, US, Singapore and Hong Kong through every stage to launch and beyond.
Hyperfinance is our flagship research programme which investigates how large banks and asset managers are accelerating their digital innovation.
Find out more
Our online tool can help you perform an independent legal review of your netting and collateral arrangements for EMIR compliance purposes.
Simmons & Simmons navigator has been making complex regulation easy since 2007 and has built a reputation as a globally trusted regulatory resource. Spanning 130 jurisdictions, navigator covers key areas of financial services and tax regulation.
© Simmons & Simmons LLP 2018. All rights reserved. Registered in England & Wales Registered Number OC352713
elexica Limited, CityPoint, One Ropemaker Street, London EC2Y 9SS T: +44 20 7628 2020