Asset Management

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  • Irish Legal & Regulatory Update - 01 April to 30 June 2019

    Article

    Submitted: 19 July 2019

    Quarterly Irish Legal & Regulatory Update from 01 April to 30 June 2019.

  • Closet tracking update

    Blog Post

    Submitted: 19 July 2019

    The Irish regulator has published the findings from its review of closet tracking.

  • Oversight July 2019 - New account opening under the code of conduct

    Newsletter

    Submitted: 19 July 2019

    This edition of Oversight focuses on the procedural updates under the Code of Conduct and the practical implications of intermediaries.

  • EMIR Newsflash: ESMA regulatory forbearance on derivatives trading obligation

    Article

    Submitted: 15 July 2019

    A brief overview of the ESMA public statement on the derivatives trading obligation following the entry into force of EMIR REFIT.

  • France Interdealer Exemption Development

    Article

    Submitted: 15 July 2019

    The French government released Decree No 2019-655 formalising the Interdealer Exemption outlined in the AMF-ACPR letter (dated 12 February 2019), with effect from 29 June 2019.

  • Certification Regime Restricted access

    Webinar

    Submitted: 12 July 2019

    Download the slides and watch our recent webinar on demand. The fourth call in our SMCR implementation series focuses on certification regime - how to allocate the client dealing function, managers of certified people, material risk takers and algorithmic traders.

  • CNMV enhances retail investor protection in the CFD and Binary Options market

    Article

    Submitted: 04 July 2019

    ​On 29 June 2019, a CNMV Resolution was published in the Spanish Official Gazette - Boletín Oficial del Estado (BOE) in relation to product intervention measures related to binary options and contracts for differences.

  • MAS clarifies regulatory expectations on IAC Guidelines

    Article

    Submitted: 01 July 2019

    In our previous bulletin, we analysed the implications of Monetary Authority of Singapore’s (MAS) proposal to expand the scope of the Guidelines on Individual Accountability and Conduct (Guidelines) (CP2). In this sequel bulletin, we recapitulate some of the key points from MAS’ feedback to the first consultation issued recently on 06 June 2019, and chart the timeline and course ahead.

  • FCA publishes first annual report on its regulatory perimeter

    Article

    Submitted: 28 June 2019

    On 19 June 2019, the FCA published their first ever report on the FCA’s regulatory perimeter.

  • The Global LEI System and Other Unique Identifiers

    Article

    Last Reviewed: 28 June 2019 / Submitted: 10 February 2014

    An overview of the Global LEI System considering some of its practical implications for financial institutions and, in particular, its relationship to the reporting obligations under EMIR including Unique Transaction Identifiers and Unique Product Identifiers.

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