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Submitted: 04 April 2019
This Oversight summaries the new requirements for offline distribution of complex products per the revised Code of Conduct for Persons Licensed or Registered with the SFC.
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Submitted: 03 April 2019
On 29 March 2019, the European Securities and Markets Authority (ESMA) published updated Q&As on the UCITS Directive. In modifying one existing Q&A, deleting another and including four new ones, ESMA has clarified how a UCITS should disclose past performance and benchmark indices in its Key Investor Information Document (KIID).
Submitted: 27 February 2019
In this article, we analyse the Final Report of the European Supervisory Authorities (ESAs) concerning amendments to the PRIIPs KID and summarise next steps.
Submitted: 13 February 2019
The Q1 2019 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore.
Submitted: 08 February 2019
The European competition authorities are currently taking a closer look at the asset management industry, notably also in Germany.
Submitted: 05 February 2019
On 04 February 2019, the Central Bank of Ireland published a Markets Update, providing information on (among other things) a number of issues to help the Irish funds industry prepare for Brexit.
Submitted: 01 February 2019
On 30 January 2019, the Financial Reporting Council (FRC) published a consultation on its proposed changes to the UK Stewardship Code. At the same time, the FCA and FRC jointly published a discussion paper, starting an examination of how effective stewardship can best be supported by the regulatory framework in the UK.
Submitted: 24 January 2019
This article will cover the key proposals of the recently published FCA Consultation Paper 19/4 and the next steps for SMCR.
Submitted: 31 October 2018
The Q4 2018 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore.
Submitted: 30 October 2018
On 30 October 2018, final rules clarifying the safe-keeping duties of depositaries of alternative investment funds (AIFs) and UCITS were published in the Official Journal. The new rules will apply from 01 April 2020.
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