Regulated funds

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  • SEC Regulation outside the US

    Conference

    Event date: 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.

  • UCITS - European Commission proposes changes to rules on cross-border marketing

    Article

    Submitted: 13 March 2018

    This Note examines the proposals put forward by the European Commission to change a number of the rules governing the cross-border distribution of undertakings for collective investment in transferable securities (UCITS).

  • MiFID2 best execution: Top 10 Questions on Top 5 Disclosure

    Article

    Submitted: 06 March 2018

    This article summarises the new MiFID2 requirements for EU-regulated firms to publish both qualitative and quantitative details of their top five brokers and execution venues.

  • Singapore: Investor Enhancements under the CPF Investment Scheme

    Article

    Submitted: 06 March 2018

    ​The Second Minister for Manpower Ms. Josephine Teo has announced certain investor enhancements for Central Provident Fund members during her ministry’s Committee of Supply debate in Parliament on 5 March 2018.

  • Singapore: ASEAN CIS Framework enhancements

    Article

    Submitted: 06 March 2018

    The ASEAN CIS Framework was revised on 23 February 2018 as it seeks to further promote the cross border offering of ASEAN funds.

  • Singapore: Budget 2018 highlights for the fund management sector Restricted access

    Article

    Submitted: 20 February 2018

    The Singapore Budget 2018 was delivered on 19 February 2018 by Mr. Heng Swee Kiat (Finance Minister). Amongst other initiatives which concern Singapore as a whole, the Singapore Budget 2018 also contained certain positive developments for the local fund management sector.

  • Seward & Kissel briefing: Annual obligation to update Form ADV

    Article

    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.

  • Luxembourg regulator tightens policy on a UCITS’s ability to invest in non-UCITS ETFs

    Article

    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.

  • Licence application for depositaries and AIFMs

    Article

    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).

  • Reminder: action to be taken by 01 March 2018 to continue CPO and CTA exemptions

    Article

    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.

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