Asset Management & Investment Funds

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  • ECON published Compromise Amendments to the proposed Securitisation Regulation

    Article

    Submitted: 13 January 2017

    The European Parliament’s Economic and Monetary Affairs Committee has approved compromise amendments to the proposed EU securitisation regulation, and the related CRR amending regulation, which may, if included in the final version of such regulations, hinder, rather than promote, the recovery of Europe’s securitisation market.

  • CAIA London Global Macroeconomic Outlook and Regulatory Update

    Seminar

    Event date: 19 January 2017

    Simmons & Simmons will be hosting CAIA London's eighth annual Global Macroeconomic Outlook panel discussion.

  • BaFin postpones decision on ban sales of credit-linked notes Restricted access

    Article

    Submitted: 16 December 2016

    ​In an immediate response to the proposed ban of the sale of credit-linked notes to retail clients set out in a consultation paper of the BaFin key German finance market associations have published “self-binding principles” for the issuance of such products to address. As a reaction to the self-restriction of the main market participants, BaFin has postponed the proposed prohibition by at least a half year.

  • BaFin considers ban of sale of CFDs with subsequent payment obligation to retail investors Restricted access

    Article

    Submitted: 14 December 2016

    ​The German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – “BaFin”) has started a public consultation/hearing process on its proposed ban on the sale to retail investors of contracts for difference (CFD) that might require the purchaser to put up further margin/capital (leveraged CFDs).

  • 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.

  • Legal Headwinds: UK/EU - Quarterly Report - Q4 2016 Restricted access

    Newsletter

    Submitted: 28 October 2016

    The Q4 2016 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in the UK for the period from 01 October to 31 December 2016.

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