Asset Management


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  • AIFMD Annex IV reporting: clarification on date of first report to the FCA Restricted access


    Submitted: 27 November 2014

    This note clarifies two current issues regarding when AIFMs must submit their first AIFMD Annex IV report to the FCA.

  • Oversight November 2014 - SFC Consultation Conclusions on the proposed amendments to the Professional Investor Regime Restricted access


    Submitted: 24 November 2014

    The Securities and Futures Commission of Hong Kong finally issued its Consultation Conclusions on the Proposed Amendments to the Professional Investor Regime and Further Consultation on the Client Agreement Requirements following a three-month consultation period which ended more than a year ago. This Oversight provides a summary of the Consultation Conclusions.

  • Trading UCITS Funds on the Italian Stock Exchange – a new route to market Restricted access


    Submitted: 21 November 2014

    On 13 November 2014 Borsa Italiana announced (AVVISO no.19378) the launch of a new segment of the ETFPlus Market of the Borsa Italiana through amendments of the “Regolamento dei Mercati Gestiti ed Organizzati da Borsa Italiana” (Borsa Rules) and the Istruzioni (Instructions) to the Borsa Rules.

  • ISDA resolution stay protocol published Restricted access


    Submitted: 18 November 2014

    ISDA has published a protocol enabling adhering parties to opt into overseas special resolution regimes applicable to certain financial companies.

  • An overview of recent and upcoming EU financial regulatory developments, and their extraterritorial impact Restricted access


    Last Reviewed: 17 November 2014 / Submitted: 17 November 2014

    Financial institutions and Managers are having to deal with an unprecedented international regulatory overhaul covering the provision of services and the marketing of products and investments. The EU, in particular, is in the process of implementing a range of regulatory changes that will impact the conduct of business in the EU and which have extraterritorial impact. In this session, we aim to focus on aspects of MiFID II, EMIR and AIFMD and their potential impact on the conduct of certain business activities in Asia.

  • New opportunity for UCITS Managers targeting Retail Investors in Italy Restricted access


    Submitted: 14 November 2014

    Borsa Italiana has launched a new segment dedicated to trading of UCITS funds which will offer an alternative way for managers to make products available to investors in Italy.

  • AIFMD transposition in Spain Restricted access


    Submitted: 13 November 2014

    The law which commences the process of implementing the AIMFD in Spain has been published today. The next step in the transposition process will be the publication of lower ranking provisions which will develop the legal provisions included in the new law.

  • ESMA confirms above threshold AIFMs may manage and market EuSEFs and EuVECAs Restricted access


    Submitted: 13 November 2014

    ESMA has updated its Q&As on EuVECAs and EuSEFs and confirmed that the management and marketing of these funds is not limited to sub-threshold AIFMs.

  • AIFMD – ESMA updates its Q&As on Annex IV Reporting Restricted access


    Submitted: 12 November 2014

    ESMA has published updated Q&As on the application of AIFMD, containing a number of new questions, covering Annex IV reporting and calculation of the total value of assets under management.

  • EU Finance Ministers herald limited progress towards EU FTT Restricted access


    Submitted: 10 November 2014

    Participating Member States are still hoping to agree a first phase EU FTT by the end of 2014, but disagreement remains over its scope and the basis for levying the tax.

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