Asset Management & Investment Funds

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  • The Securitisation Regulation: key points for US investment managers

    Article

    Submitted: 09 April 2018

    ​The EU’s Securitisation Regulation becomes effective from 01 January 2019. The Regulation replaces securitisation provisions in, among other things, the Alternative Investment Fund Managers Directive (AIFMD). Importantly, some US investment managers will now find themselves subject to the Regulation’s due diligence and risk retention requirements.

  • The Securitisation Regulation: key points for EU AIFMs

    Article

    Submitted: 09 April 2018

    The EU’s Securitisation Regulation becomes effective from 01 January 2019. The Regulation replaces securitisation provisions in, among other things, the Alternative Investment Fund Managers Directive (AIFMD). Importantly, certain AIFMs, which have, to date, been outside the scope of the securitisation rules under AIFMD, may find themselves subject to the Regulation’s due diligence and risk retention requirements.

  • The Global LEI System and Other Unique Identifiers

    Article

    Last Reviewed: 31 March 2018 / Submitted: 10 February 2014

    An overview of the Global LEI System considering some of its practical implications for financial institutions and, in particular, its relationship to the reporting obligations under EMIR including Unique Transaction Identifiers and Unique Product Identifiers.

  • GDPR Implementation: Expected changes to hedge fund documentation

    Article

    Submitted: 27 March 2018

    GDPR is coming into force on 25 May 2018. This note addresses the documentation requirements for a hedge fund.

  • UCITS - European Commission proposes changes to rules on cross-border marketing

    Article

    Submitted: 13 March 2018

    This Note examines the proposals put forward by the European Commission to change a number of the rules governing the cross-border distribution of undertakings for collective investment in transferable securities (UCITS).

  • Cross-border marketing of AIFs and UCITS - European Commission proposes rule changes

    Article

    Submitted: 13 March 2018

    ​The European Commission has published proposals to change a number of the rules governing the cross-border distribution of alternative investment funds and undertakings for collective investment in transferable securities. The proposed introduction of rules on pre-marketing of funds, in particular, may result in some (presumably, unintended) difficulties for EU alternative investment fund managers (AIFMs) - this will need to be watched carefully as the proposals are considered by the Council of the EU and the European Parliament.

  • GDPR for UK Hedge Fund Managers

    Article

    Submitted: 12 March 2018

    The European Union’s General Data Protection Regulation (GDPR) comes into force on 25 May 2018. GDPR will extend the data protection responsibilities of UK and other EU hedge fund managers, and will also extend the direct application of EU data protection law to non-EU entities, including many funds. This note addresses how certain provisions of GDPR will affect UK hedge fund managers.

  • GDPR for US Investment Advisers

    Article

    Submitted: 12 March 2018

    The European Union is introducing a new piece of data protection legislation, the General Data Protection Regulation (GDPR), which will affect many US investment advisers. GDPR comes into force on 25 May 2018.

  • MiFID2 best execution: Top 10 Questions on Top 5 Disclosure

    Article

    Submitted: 06 March 2018

    This article summarises the new MiFID2 requirements for EU-regulated firms to publish both qualitative and quantitative details of their top five brokers and execution venues.

  • Employment Essentials: GDPR and addressing sexual harassment complaints Restricted access

    Online Learning

    Submitted: 26 February 2018

    Materials from our training seminar for junior HR professionals working in financial services. This session focused on GDPR and how to address sexual harassment complaints in the workplace.

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