Asset Management & Investment Funds

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  • Legal Headwinds: Asia - Quarterly Report - Q1 2016 Restricted access

    Newsletter

    Submitted: 29 February 2016

    The Q1 2016 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore for the period from 01 January 2016 to 31 March 2016.

  • The whistleblowers’ champion - the new non-executive director role Restricted access

    Article

    Last Reviewed: 11 March 2016 / Submitted: 22 February 2016

    ​A summary of the role of the whistleblowing champion in the new PRA / FCA whistleblowing regime.

  • APER 4 - Final Notice against Macris

    Article

    Submitted: 18 February 2016

    ​The Financial Conduct Authority has published its final notice in relation to Achilles Marcris and has imposed a fine for a breach of Principle 4 of its Statements of Principle for Approved Persons (APER 4).

  • Macris and the obligation to cooperate

    Article

    Submitted: 18 February 2016

    ​This note considers the details of the Macris case and trends in other high profile “cooperation” cases which have provided guidance on the expectations of both the FCA and PRA in this area.

  • Brexit: the implications for financial services

    Article

    Submitted: 18 February 2016

    An overview of the possible implications for financial services if the UK leaves the EU.

  • The impact of regional instability in the Middle East on asset allocation

    Webinar

    Submitted: 18 February 2016

    This webinar looks at asset allocation strategies for the region in 2016.

  • Is it the end of the beginning for credit funds in Italy?

    Article

    Submitted: 17 February 2016

    ​The Italian Government has adopted a Law Decree introducing new provisions on "credit funds". Although these provisions aim to launch credit funds in Italy, their immediate effect is to jeopardise the ability of foreign funds to provide direct lending to Italian clients.

  • Non-party costs orders - piercing the corporate veil?

    Article

    Submitted: 17 February 2016

    ​A non-party costs order was upheld against an individual when conduct of the litigation was entirely in his control.

  • EMIR Newsflash: ESMA publishes updated Q&As Restricted access

    Article

    Submitted: 16 February 2016

    Updated European Securities and Markets Authority (ESMA) Q&As on the European Market Infrastructure Regulation (EMIR) implementation.

  • LGPS and derivatives - removing the ambiguity?

    Article

    Submitted: 16 February 2016

    ​The Department for Communities and Local Government (DCLG) is currently consulting on proposed reforms to the investment rules for Local Government Pension Schemes (LGPS). Amongst other things, the proposals would provide much needed clarity on the extent to which LGPS can enter into derivative transactions.

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