Asset Management

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  • New CNMV fees: impact on the marketing of foreign funds in Spain Restricted access

    Article

    Submitted: 03 October 2014

    An important change to the fees to be charged by the CNMV to foreign investment funds being marketed in Spain has been introduced through a law recently published. The new regulation will have a significant impact on foreign investment funds marketed in Spain, especially those which are already registered by the CNMV and which already distribute a significant volume of assets in Spain.

  • Options for German insurance companies to invest in investment funds Restricted access

    Seminar

    Submitted: 02 October 2014

    In this breakfast briefing Simmons & Simmons partners Jochen Kindermann, Harald Glander and Pascal di Prima provided an overview of recent amendments to the German Capital Invesment Code and discussed potential consequences for investment fund managers.

  • AIFMD – FCA updates its Q&As on Annex IV reporting Restricted access

    Article

    Submitted: 02 October 2014

    The FCA has published Q&As on Annex IV reporting obligations under the AIFMD.

  • Asset Management Litigation and Regulatory Enforcement Newsletter - Article edition Restricted access

    Newsletter

    Submitted: 01 October 2014

    Welcome to the first article edition of our Asset Management Litigation and Regulatory Enforcement Newsletter.

  • AIFMD – ESMA updates its Q&As on Annex IV reporting and Delegation Restricted access

    Article

    Submitted: 01 October 2014

    ESMA has published updated Q&As on the application of AIFMD, containing a number of new questions, covering Annex IV reporting and delegation.

  • Avoiding personal regulatory risk: Corporate Governance for all in regulated firms Restricted access

    Seminar

    Submitted: 01 October 2014

    Slides available from a session held as part of our CPD Day on 8th/9th October 2014. Following on from their session last year, Charles Mayo and Pollyanna Deane take a look at the impact of the FCA’s increased scrutiny of firms and approved persons. We pay particular attention to the changes that we have seen in the last 12 months, the war stories, improvements in governance and the wider implications for the tougher standards being imposed on the financial sector.

  • High Court requires live quotations under 1992 ISDA Master Agreement Restricted access

    Article

    Submitted: 01 October 2014

    In a recent decision, the High Court has provided guidance on the interpretation of the Market Quotation formula under the 1992 English law ISDA Master Agreement.

  • Legal Headwinds: Asia - Quarterly Report - Q4 2014 Restricted access

    Newsletter

    Submitted: 01 October 2014

    The Q4 2014 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore for the period from 01 October to 31 December 2014.

  • Tax fraud in financial services - innocent until proven careless?

    Seminar

    Submitted: 30 September 2014

    Recording and slides available from a seminar held as part of our "Financial Services Tax Breakfast Briefings" held on 30 September 2014. Topics included in this session include a look at areas of tax fraud risk for financial institutions and maintaining effective risk controls.

  • Client assets Restricted access

    Article

    Submitted: 30 September 2014

    An overview of recent developments.

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