Asset Management & Investment Funds

1 to 10 of 308
  • MiFID2 - FCA publishes final rules on conduct of business requirements

    Article

    Submitted: 19 July 2017

    On 03 July 2017, the Financial Conduct Authority (FCA) published Policy Statement, PS 17/19, containing the final rules by which it will transpose key conduct of business requirements under MiFID2. These will affect what the FCA acknowledges will be “a wide range of regulated and recognised firms".

  • Market Abuse Regulation knowledge centre

    Article

    Last Reviewed: 17 July 2017 / Submitted: 25 April 2016

    Our Market Abuse Regulation knowledge centre provides you with access to the key materials relating to the EU’s revisions to its 2003 Market Abuse Directive (MAD), which have led to the adoption of a new Market Abuse Regulation (MAR) and associated recast Directive (CSMAD).

  • ESMA updates its Q&As on UCITS

    Article

    Submitted: 12 July 2017

    ​On 11 July 2017, the European Securities and Markets Authority (ESMA) updated its Q&As, “Application of the UCITS Directive” by including two additional questions on (a) issuer concentration and (b) group links and independence.

  • ESMA updates its Q&As on AIFMD

    Article

    Submitted: 12 July 2017

    On 11 July 2017, the European Securities and Markets Authority (ESMA) updated its Q&As, “Application of the AIFMD” by including three additional questions regarding reporting information to national regulators.

  • Use of alternative data by investment firms - legal considerations

    Seminar

    Event date: 26 July 2017

    More asset managers are integrating alternative data into the investment process. This event addresses the key legal and compliance topics regarding alternative data. For example, privacy policy, PII, web crawling and exclusivity.

  • The Global LEI System and Other Unique Identifiers

    Article

    Last Reviewed: 30 June 2017 / 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.

  • EMIR Margin requirements for physically settled FX forwards: the time to engage is now

    Article

    Submitted: 28 June 2017

    ​Amid the noise of MiFID2, it would perhaps be easy to forget that the final piece of the EMIR Margin requirements, which relates to physically settled FX forwards, is due to come into force on 03 January 2018.

  • ESMA publishes principles for post-Brexit supervisory convergence in EU27

    Article

    Submitted: 02 June 2017

    The European Securities and Markets Authority (ESMA) has published an Opinion, aimed at ensuring that the national competent authorities in the remaining 27 EU Member States take a consistent approach to the authorisation of UK entities looking to relocate into the EU following Brexit.

  • ESMA considers use of blanket order cancellation policies in update of its Q&A on MAR

    Article

    Submitted: 31 May 2017

    The European Securities and Markets Authority (ESMA) has expressed its view that the use of a blanket order cancellation policy can, depending on the circumstances of the case, rebut the presumption of insider dealing in the situation where an order is cancelled after inside information relating to that order had been received.

  • ECJ’s Opinion on the Singapore Free Trade Agreement and the implications for brokering the Brexit deal

    Article

    Submitted: 19 May 2017

    The European Court of Justice's Opinion on questions of the process for concluding a bilateral free trade agreement between the EU and the Republic of Singapore is particularly important as it will determine which provisions will require approval and subsequent ratification from all remaining EU Member States in any UK-EU deal brokered in the context of Brexit.

1 to 10 of 308