Asset Management & Investment Funds

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  • Disclosure Pilot Scheme approved

    Article

    Submitted: 31 July 2018

    ​The Civil Procedure Rule Committee has confirmed its approval of the Disclosure Pilot Scheme, heralding major changes to the way disclosure will be conducted in the Business and Property Courts.

  • Oversight August 2018 - OFC regime launched in Hong Kong

    Newsletter

    Submitted: 31 July 2018

    ​The open-ended fund company (OFC) regime came into effect 30 July 2018. This Oversight summarises the OFC regime including the framework and key provisions in the regulations now in force.

  • FCA investment platforms market study interim report: impact on asset managers

    Article

    Submitted: 30 July 2018

    This Note examines the key issues arising from the Financial Conduct Authority’s (FCA) interim report on its investment platforms market study and assess how it impacts asset managers.

  • Altice/PT Portugal - Gun-Jumping

    Article

    Submitted: 27 July 2018

    With this decision, the Commission has clearly reaffirmed its position on gun-jumping. It is not only about acquiring shares but also about contractual provisions which grant de facto decisive influence pending acquisition of the shares.

  • Disclosure of “confidential information” by national regulators: recent ECJ decision

    Article

    Submitted: 27 July 2018

    The European Court of Justice has provided some guidance on the meaning of "confidential information" in the context of the obligation of professional secrecy imposed on competent authorities by MiFID.

  • Singapore Short Selling Reporting Rules to take effect on 01 October 2018

    Article

    Submitted: 27 July 2018

    The Monetary Authority of Singapore issued the Securities and Futures (Short Selling) Regulations 2018 and the Guidelines on the Regulation of Short Selling on 28 May 2018.

  • Overpaid tax on portfolio dividends: remedies and interest

    Article

    Submitted: 26 July 2018

    The Supreme Court has held that EU law required the UK to give credit against UK tax on foreign portfolio dividends based on the nominal rate of tax in the jurisdiction of the distributing company, but that neither EU nor UK law requires the payment of compound interest on repayments.

  • FCA publish its Anti-Money Laundering Report for 2017/18

    Article

    Submitted: 26 July 2018

    The FCA has published its 2017/18 Anti-Money Laundering annual report. The article outlines the main findings from the report and draws out the FCA’s key messages.

  • Singapore: Amendments to the MAS’ Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies

    Article

    Submitted: 26 July 2018

    The Monetary Authority of Singapore issued revised Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies on 03 July 2018.

  • ESMA updates its guidance on AIFMD and the UCITS Directive

    Article

    Submitted: 24 July 2018

    On 23 July 2018, the European Securities and Markets Authority (ESMA) published updated versions of its Q&As, Application of the Alternative Investment Fund Managers Directive (AIFMD) and Application of the UCITS Directive. Both documents consider where supervisory responsibility lies when MiFID services are provided through a branch in a different Member State from that of alternative investment fund manager (AIFM) or UCITS Management Company (UCITS ManCo). The UCITS Q&As also provide guidance as to (a) whether netting/hedging arrangements can be taken into account when calculating issuer concentration limits and (b) a UCITS’s ability to invest in a collective investment undertaking with different investment strategies or investment restrictions.

41 to 50 of 2759