Asset Management & Investment Funds

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  • ESMA updates its UCITS Q&As on investment limits

    Article

    Submitted: 21 November 2016

    On 21 November 2016, the European Securities and Markets Authority (ESMA) updated its Q&As on the UCITS Directive, advising those applying a different interpretation to make necessary adjustments "at the earliest convenience".

  • ERISA Fiduciary Project Plan

    Article

    Submitted: 21 November 2016

    ERISA Fiduciary Project Plan for all funds which may accept ERISA or other Benefit Plan Investors

  • Q&A on new ERISA fiduciary rules

    Article

    Submitted: 21 November 2016

    An overview of the scope and impact of the new ERISA fiduciary rules

  • ESMA updates its AIFMD Q&As

    Article

    Submitted: 16 November 2016

    ​On 16 November 2016, the European Securities and Markets Authority (ESMA) published an update to its Q&As, "Application of the AIFMD".

  • ESMA publishes Q&As on the Market Abuse Regulation

    Article

    Submitted: 07 November 2016

    ESMA publishes advice on managers’ transactions, investment recommendation and information recommending or suggesting an investment strategy under MAR.

  • ESMA publishes Level 3 guidelines under MAR

    Article

    Submitted: 21 October 2016

    ​On 20 October 2016, the European Securities and Markets Authority (ESMA) formally published two sets of guidelines under the Market Abuse Regulation (MAR).

  • UCITS - ESMA publishes Q&As on updating documents under UCITS V

    Article

    Submitted: 20 October 2016

    ESMA updated its Q&As on the application of UCITS.

  • ESMA publishes remuneration guidelines for UCITS Restricted access

    Article

    Submitted: 14 October 2016

    ​On 14 October 2016 the European Securities and Markets Authority (ESMA) published its final Guidelines on sound remuneration policies under the UCITS Directive (the Guidelines).

  • ESMA updates its Q&As on AIFMD - impact of SFTR on AIFMD

    Article

    Submitted: 07 October 2016

    The European Securities and Markets Authority has updated its Q&As on AIFMD to include a question on the reporting of securities financing transactions (SFTs) and total return swaps by UCITS and AIFMs under the SFT Regulation.

  • MiFID2: FCA consultation paper - key developments for UK asset managers

    Article

    Submitted: 30 September 2016

    On 29 September 2016, the FCA published Consultation Paper CP16/29, its third consultation paper on MiFID2 implementation (CP3). This note summarises CP3’s key takeaway points affecting UK asset managers, including important gold-plating proposals for AIFMs and UCITS ManCos

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