Asset Management


21 to 30 of 2037
  • FCA moves the goalposts on application of MiFID2 research unbundling rules to non-EEA delegates


    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.

  • Offer of digital tokens in Singapore


    Submitted: 15 August 2017

    The growing popularity of initial coin offerings has attracted the attention of the Monetary Authority of Singapore and the Commercial Affairs Department, who have since issued statements on this subject.

  • Spanish steps towards MiFID2


    Submitted: 11 August 2017

    The Spanish Ministry of Economy, Industry and Competitiveness has published a preliminary draft law and draft Royal Decree implementing MiFID2 in Spain.

  • Financial Services Alerter - July 2017 developments


    Submitted: 09 August 2017

    Issue 114 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.

  • Brexit


    Last Reviewed: 09 August 2017 / Submitted: 16 June 2016

    The legal consequences of the UK exiting from the EU: what should businesses be considering?

  • Further AML/CTF obligations relating to Qatar in the UAE Restricted access


    Submitted: 08 August 2017

    On 06 August 2017, the Dubai Financial Services Authority (the DFSA) issued a "Dear SEO" letter (issued pursuant to the DIFC Regulatory Law 2004 (as amended)) notifying all DFSA Authorised Firms and Relevant Persons of existing and updated AML/CTF obligations relating to Qatar.

  • Wanted! 480 independent NEDs for Authorised Fund Managers


    Submitted: 07 August 2017

    The FCA is consulting on proposed changes to the governance of authorised fund managers (AFMs) which would involve the appointment of an estimated 480 independent non-executive directors (NEDs) across the UK asset management sector.

  • AIG OFAC enforcement decision: Lessons in self-disclosure and cooperation


    Submitted: 07 August 2017

    The recent AIG OFAC Enforcement Notice (the AIG Notice) provides valuable insight into areas that international insurance and financial services organisations should be mindful of from a sanctions-risk mitigation perspective. The AIG Notice also presents some valuable lessons, in light of OFAC’s Economic Sanctions Enforcement Guidelines on some of the potential benefits of self-disclosure and co-operation.

  • Renewal of FFI Agreements required


    Last Reviewed: 04 August 2017 / Submitted: 19 June 2017

    Foreign financial institutions (FFIs) with existing FFI agreements with the US Internal Revenue Service have been given an extended deadline until 24 October 2017 to renew those agreements.

  • Senior managers and certification regime for banks Restricted access


    Last Reviewed: 04 August 2017 / Submitted: 16 December 2014

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

21 to 30 of 2037