Regulated funds

Latest

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  • MiFID2: documents and policies update for asset managers

    Article

    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.

  • Seward & Kissel briefing: SEC’s amendments to Form ADV and Advisers Act

    Article

    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.

  • FCA moves the goalposts on application of MiFID2 research unbundling rules to non-EEA delegates

    Article

    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.

  • UCITS Tracker Restricted access

    Microsite

    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.

  • ESMA updates its Q&As on UCITS

    Article

    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.

  • ESMA considers use of blanket order cancellation policies in update of its Q&A on MAR

    Article

    Submitted: 31 May 2017

    The European Securities and Markets Authority (ESMA) has expressed its view that the use of a blanket order cancellation policy can, depending on the circumstances of the case, rebut the presumption of insider dealing in the situation where an order is cancelled after inside information relating to that order had been received.

  • BEPS: Implications for Funds and Asset Managers

    Seminar

    Submitted: 18 May 2017

    The OECD has released its final reports on the Base Erosion and Profits Shifting (BEPS) Action Plan and the focus has now moved to the implementation of the various agreed actions in the participating jurisdictions, including the Netherlands. This session focuses on practical tax implications of BEPS for funds and asset managers.

  • Recovery of overpaid VAT by customers direct from HMRC

    Article

    Submitted: 12 April 2017

    The Supreme Court has held that a consumer does not generally have a right to recover overpaid VAT directly from HMRC and must instead seek restitution from their supplier.

  • Seward & Kissel briefing: new hedge fund study published

    Article

    Submitted: 03 April 2017

    Seward & Kissel have published the results of their most recent study examining key trends and strategies currently affecting the hedge fund marketplace.

  • CNMV enhances retail investor protection in the CFD market

    Article

    Submitted: 31 March 2017

    Intermediaries marketing certain speculative products in Spain must comply with strict measures to ensure retail investors are fully aware of complexity and associated risks.

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