Asset Management

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  • Senior managers and certification regime for banks Restricted access

    Tracker

    Last Reviewed: 18 April 2018 / Submitted: 16 December 2014

    A practical guide for HR to the new UK senior managers regime.

  • Senior Managers and Certification Regime Extension

    Tracker

    Last Reviewed: 18 April 2018 / Submitted: 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

    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.

  • FCA Business Plan 2018/2019

    Article

    Submitted: 17 April 2018

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

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

    Article

    Submitted: 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

    Article

    Submitted: 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).

  • FCA publish Policy Statement and further consultation paper: Asset Management market study

    Article

    Last Reviewed: 12 April 2018 / Submitted: 05 April 2018

    The FCA has today published a Policy Statement (PS18/8) which implements the first set of remedies outlined in the Final Report (MS15/2.3) in respect of the Asset Management Market Study. The FCA has also published a further Consultation Paper (CP18/9) on fund objectives and the use of benchmarks and an Occasional Paper (OP32) in respect of the all-in fee and the possible standardisation of disclosure of fees and charges.

  • SFTR Project Plan

    Article

    Last Reviewed: 12 April 2018 / Submitted: 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

    Article

    Last Reviewed: 12 April 2018 / Submitted: 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.

  • Private Equity transactions - Luxembourg Company Law Reform: the two year transitory period is coming to an end

    Article

    Submitted: 12 April 2018

    ​Following the reform of the Luxembourg law on commercial companies (the Law) on 10 August 2016 (the Reform) and with the end of the two year transitory period approaching fast, this is an excellent opportunity to summarise the impact the Reform has had on Luxembourg vehicles frequently used in cross-border private equity transactions. These vehicles include private limited liability companies (SARLs), public limited liability companies (SAs) and partnerships limited by shares (SCAs).

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