Asset Management

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  • Remuneration regulation and AIFMD remuneration reporting Restricted access

    Seminar

    Submitted: 07 October 2014

    Slides available from a session held as part of our CPD Day on 8th/9th October 2014. A high level reminder of the web of remuneration regulation affecting financial services organisations with a focus on developments this year.

  • Private banking and wealth management update Restricted access

    Seminar

    Submitted: 07 October 2014

    The session will examine recent regulatory changes and enforcement decisions, look at key themes in consumer finance, lending and tax, together with an overview of business critical lessons to be learned in respect of complaints handling, and FOS and court decisions, all in relation to wealth management firms.

  • Middle East regulatory update Restricted access

    Seminar

    Submitted: 07 October 2014

    Slides available from a session held as part of our CPD Day on 8th/9th October 2014. In this session we explore a number of regulatory developments in the GCC, including a look at the Dubai international finance centre (DIFC) 10 years on from its launch; an update on the investment funds and investment management regulations in the UAE; a look at the various formal and informal exemptions applicable to the promotion of funds and investment management in the region and an update on the opening up of the Tadawul Stock Market in Saudi Arabia to foreign investment.

  • Issues around illiquid investments in Africa and how they can be solved Restricted access

    Seminar

    Submitted: 07 October 2014

    Slides available from a session held as part of our CPD Day on 8th/9th October 2014. This session covers the issues that can arise when making and exiting an investment in sub-Saharan Africa (excluding South Africa), and how these can be mitigated through appropriate due diligence, transaction structuring and other strategies (including the use of a local partner).

  • Issues for activist investors Restricted access

    Seminar

    Submitted: 07 October 2014

    Slides available from a session held as part of our CPD Day on 8th/9th October 2014. This session looks at the tools available to, and common issues that may be encountered by, asset managers that undertake activist strategies.

  • Managing conflicts arising out of investment fund structures Restricted access

    Seminar

    Submitted: 07 October 2014

    Slides available from a session held as part of our CPD Day on 8th/9th October 2014. Investment funds are typically structured so as to balance the interests of various stakeholders, including investors and the investment manager. Conflicts of interest typically arise in the ordinary course. Drawing on recent cases and experiences, this talk discusses conflicts of interest, identifying them and managing them and how the associated regulatory, reputational and litigation risks can be mitigated.

  • Collateralisation of OTC derivatives Restricted access

    Seminar

    Submitted: 07 October 2014

    Slides available from a session held as part of our CPD Day on 8th/9th October 2014. As the market prepares for the implementation of the EMIR risk mitigation rules on the collateralisation of uncleared derivatives transactions we give an overview of the proposed key requirements, the status of the debate on the rules and suggested structures that will need to be put in place in order for market participants to comply with the new requirements.

  • FCA publishes information on AIFMD Annex IV reporting to UK and non-EEA AIFMs Restricted access

    Article

    Submitted: 06 October 2014

    This Note summarises the information recently issued to UK and non-EEA AIFMs by the UK’s FCA in respect of their Annex IV reporting obligations under AIFMD.

  • Asset Management Litigation and Regulatory Enforcement Newsletter Restricted access

    Article

    Submitted: 06 October 2014

    This newsletter brings together developments of interest to the asset management sector from Simmons & Simmons and Seward & Kissel’s global network of offices.

  • Coffee, you and MiFID 2 - Session 4 Restricted access

    Seminar

    Submitted: 06 October 2014

    Impact on the regulation of commodities business. Plus, impact of MiFID 2 on derivatives (25 September 2014)

21 to 30 of 1205