Asset Management & Investment Funds

Latest

41 to 50 of 1744
  • ESMA clarifies depositary liability issue in its updated AIFMD Q&As

    Article

    Submitted: 16 December 2015

    ​On 15 December 2015, ESMA again updated its AIFMD Q&As to clarify that the depositary’s liability regime under AIFMD applies to those assets for which a depositary has safe-keeping duties on a look-through basis.

  • Senior Managers Regime - NEDs Restricted access

    Conference Call

    Submitted: 16 December 2015

    ​This recording and presentation is of one in a series of practical telephone calls on the Senior Managers Regime. On this call, we discuss the roles and responsibilities of non-executive directors (NEDs).

  • Oversight December 2015 - SFC consultation on the expansion of the weekly short position reporting regime in Hong Kong

    Newsletter

    Submitted: 15 December 2015

    This Oversight considers the main regulations governing short selling and short positions reporting in Hong Kong, and outlines the key proposals set out in the SFC's Consultation Paper on the weekly short reporting regime in Hong Kong.

  • EMIR Newsflash: ESMA consults on amending CCP margin liquidation periods

    Article

    Submitted: 14 December 2015

    ​An update on European Securities and Markets Authority (ESMA) consultation paper on the review of Article 26 of the regulatory technical standards No 153/2013 on requirements for central counterparties (CCPs).

  • Flows of confidential and inside information - the FCA review Restricted access

    Article

    Submitted: 14 December 2015

    The Financial Conduct Authority (FCA) has issued a Thematic Review of Flows of Confidential and Inside Information. This follows a review by the FCA into the practices of a sample of investment banking firms with the review finding that standards of control varied and some practices result in heightened risks for market participants.

  • The FCA issues PS15/29 Restricted access

    Article

    Submitted: 14 December 2015

    The Financial Conduct Authority (FCA) has issued PS15/29: Strengthening accountability in banking: Final amendments to the Decision Procedure and Penalties Manual (DEPP) and the Enforcement Guide (EG).

  • FTT: one step forward, one step back…

    Article

    Submitted: 11 December 2015

    Ten Member States have reached a degree of political agreement on the proposed scope of the FTT, whilst Estonia has withdrawn from the process.

  • VAT and management of property funds

    Article

    Submitted: 11 December 2015

    The ECJ has held that the exemption from VAT for the management of a special investment fund does not cover the management of the underlying properties of a real estate fund.

  • Updating whistleblowing policies and procedures - a practical checklist

    Article

    Submitted: 10 December 2015

    ​A practical checklist of the changes needed to policies and procedures in light of the new PRA and FCA whistleblowing rules.

  • Oversight December 2015 - Recognised Jurisdiction Schemes and Approved Inspection Regimes updated

    Newsletter

    Submitted: 10 December 2015

    This Oversight considers the SFC's recent update to the lists of recognised jurisdiction schemes and approved inspection regimes on 19 November 2015 and its impact on offering German funds and funds managed by German banks in Hong Kong.

41 to 50 of 1744