Asset Management & Investment Funds

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  • Dos and don'ts in international investigations Restricted access

    Seminar

    Submitted: 08 October 2014

    Video recording and slides available from a session held as part of our CPD Day on 8th/9th October 2014. This session covers practical issues in carrying out internal investigations, and how financial institutions can manage their risks across a number of areas, such as privilege, cross-border issues, self-reporting, related employment obligations and increasing criminal liability. We also spend some time looking at the implications of recent international financial regulatory and competition investigations.

  • HFT legal issues update Restricted access

    Seminar

    Submitted: 08 October 2014

    Video recording and slides available from a session held as part of our CPD Day on 8th/9th October 2014. This session covers high frequency trading (HFT) and look at the impacts that MiFID 2 will have on HFT.

  • Regulated funds round up Restricted access

    Seminar

    Submitted: 08 October 2014

    Video recording and slides available from a session held as part of our CPD Day on 8th/9th October 2014. A catch-up session on recent developments in relation to UCITS and other regulated funds – covering UCITS V and VI, Authorised Contractual Schemes (ACS), ESMA Guidelines on collateral and other derivatives issues.

  • Global cross-border licensing, marketing and distribution risks: An overview of legal and regulatory issues illustrated by navigator Restricted access

    Seminar

    Submitted: 08 October 2014

    Video recording and slides available from a session held as part of our CPD Day on 8th/9th October 2014. Doing cross-border business with clients/investors around the world while trying to comply with the local legal and regulatory restrictions can get very complicated. During this session, we examine the various risks relating to a range of scenarios, ranging from the marketing and sale of financial instruments (funds, shares, structured products, derivatives) to the offering and provision of investment services on a cross-border basis using country specific information taken from our navigator range of services.

  • Oversight October 2014 - Updated outline on Hong Kong disclosure of interests Restricted access

    Newsletter

    Submitted: 08 October 2014

    This Oversight provides an overview of the latest guidance from the Securities and Futures Commission in relation to the disclosure of interests regime in Hong Kong.

  • Managing conflicts arising out of investment fund structures Restricted access

    Seminar

    Submitted: 08 October 2014

    Video recording and slides available from a session held as part of our CPD Day on 8th/9th October 2014. Investment funds are typically structured so as to balance the interests of various stakeholders, including investors and the investment manager. Conflicts of interest typically arise in the ordinary course. Drawing on recent cases and experiences, this talk discusses conflicts of interest, identifying them and managing them and how the associated regulatory, reputational and litigation risks can be mitigated.

  • Issues for activist investors Restricted access

    Seminar

    Submitted: 08 October 2014

    Video recording and slides available from a session held as part of our CPD Day on 8th/9th October 2014. This session looks at the tools available to, and common issues that may be encountered by, asset managers that undertake activist strategies.

  • Senior Managers, Bank Employees and the implementation of the Banking Reform Act Restricted access

    Seminar

    Submitted: 08 October 2014

    Video recording and slides available from a session held as part of our CPD Day on 8th/9th October 2014. The PRA and FCA have published their proposals for implementing the new senior manager, certification and conduct rules regimes for banks under the Financial Services (Banking Reform) Act 2013. This talk examines the drivers for reform, the resulting Parliamentary Commission on Banking Standards and the current implementation of the Financial Services (Banking Reform) Act 2013 as regards bank employees.

  • Update on recent German ECM developments Restricted access

    Seminar

    Submitted: 07 October 2014

    This session will cover the changes in the German delisting regime, the effects of MAR on the Germany market abuse regime as well as looking at the expected clarifications on acting in concert coming from the court decisions in the “Effecten-Spiegel vs. Deutsche Bank case”.

  • Structuring challenges for fund managers: US tax, BEPS and other issues Restricted access

    Seminar

    Submitted: 07 October 2014

    Slides available from a session held as part of our CPD Day on 8th/9th October 2014. A panel of tax partners from Simmons & Simmons and Seward & Kissel consider key US, EU and international tax developments that fund managers need to be aware of, in order to create operational efficiencies and maximise returns for funds and their investors.

41 to 50 of 1443