Asset Management & Investment Funds

Latest

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  • FCA and PRA enforcement decision making processes

    Article

    Submitted: 12 May 2016

    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have published a consultation on proposals aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes.

  • Hong Kong regulatory enforcement update: Q1 2016

    Article

    Last Reviewed: 11 May 2016 / Submitted: 11 May 2016

    A round up on regulatory enforcement developments for the first quarter of 2016.

  • Countdown to MAR - Session 2 Restricted access

    Conference Call

    Submitted: 10 May 2016

    Session 2 in the series focuses on the new EU Market Abuse Regulations as regards market soundings and investment recommendations.

  • Financial Services Alerter - April 2016 developments

    Newsletter

    Submitted: 10 May 2016

    Issue 99 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.

  • Legal Headwinds NL/EU - Quarterly Report - Q2 2016

    Newsletter

    Submitted: 04 May 2016

    ​The Q2 2016 edition of Legal Headwinds focuses on key regulatory developments relevant to financial institutions operating in the Netherlands for the period from 01 April 2016 to 30 June 2016.

  • Episode 541: Singapore fund management regulatory update

    Video Podcast

    Submitted: 04 May 2016

    JWS Asia Law director Jek-Aun Long give us an update on fund management regulatory developments in Singapore.

  • Countdown to MAR - Session 1 Restricted access

    Conference Call

    Submitted: 29 April 2016

    ​The first in a series of calls relating to the new EU Market Abuse Regulation.

  • Legal Headwinds: UK/EU - Quarterly Report - Q2 2016 Restricted access

    Newsletter

    Submitted: 28 April 2016

    The Q2 2016 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in the UK for the period from 01 April to 30 June 2016.

  • Extension of the senior managers and certification regime

    Article

    Submitted: 27 April 2016

    Simmons & Simmons has put together a microsite of key resources for those who will be affected by the extension of the senior managers and certification regime.

  • Government Action Plan promises AML shake-up

    Article

    Submitted: 27 April 2016

    ​The Government has published a 19 point action plan setting out proposals for changes to the Anti Money Laundering regime in the UK.

61 to 70 of 1378