Investment Bank Regulatory

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  • MiFID2 Tracker

    Tracker

    Last Reviewed: 20 September 2017 / Submitted: 14 April 2015

    Financial institutions need to start planning for the changes that MiFID2 will bring into force from 03 January 2018. This microsite is designed to provide a helpful guide to understanding the legislative developments MiFID2 will introduce. It also contains materials and training materials designed to assist you in understanding both how MIFID2 will impact your business and what you need to do to prepare for MiFID2.

  • MiFID2: expected amendments to fund documentation for UK authorised funds

    Article

    Submitted: 20 September 2017

    We summarise the key amendments which we expect UK authorised fund managers (including UK UCITS management companies) will need to make to fund documentation in light of MiFID2.

  • MiFID2: expected amendments to fund and managed account documentation for UK AIFMs

    Article

    Submitted: 19 September 2017

    We summarise the key amendments which we expect hedge fund managers (full scope UK AIFMs) will need to make to AIF and managed account documents in light of MiFID2.

  • EU PRIIPs Regulation: Do you need a “KID” for your AIF?

    Article

    Submitted: 18 September 2017

    This note sets out information relating to the implications of the PRIIPs regime for managers and distributors of alternative investment funds (AIFs).

  • MiFID2: documents and policies update for asset managers

    Article

    Submitted: 12 September 2017

    Our briefing note provides a checklist of the legal agreements and compliance policies likely to be impacted by changes brought in by the UK’s implementation of MiFID2. It sets out our general views on what documentation reviews and updates firms may wish to prioritise.

  • Financial Services Alerter - August 2017 developments

    Newsletter

    Submitted: 11 September 2017

    Issue 115 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.

  • Review of the Credit Information Reporting Act (2017)

    Article

    Submitted: 08 September 2017

    An overview of the Federal Government of Nigeria signing into law, the Credit Reporting Act of 2017 (the Act) on 30 May 2017 to curtail its negative impact on SMEs.

  • Brexit and the German market: investment funds and regulatory considerations

    Webinar

    Event date: 21 November 2017

    The final webinar of five in this series will discuss the practical implications of relocating or establishing an additional presence in Germany to achieve a smooth transition following Brexit. There will be an opportunity for Q&As.

  • A post LIBOR world: impact and analysis

    Article

    Submitted: 04 September 2017

    This is the first of a series of articles in connection with the proposed phasing out of the LIBOR benchmark. This article provides some initial thoughts on how existing transactions will manage the potential transition to a new benchmark.

  • The top 10 things you need to know about the Extended Senior Managers and Certification Regime (SMCR)

    Article

    Submitted: 01 September 2017

    Our helpful briefing note highlights the top 10 things you need to know about the proposed extension of the Senior Managers and Certification Regime to all FCA solo-regulated financial services firms.

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