Institutional investors

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  • FCA moves the goalposts on application of MiFID2 research unbundling rules to non-EEA delegates

    Article

    Submitted: 15 August 2017

    ​A letter from the FCA, outlining how it expects certain MiFID2 requirements to be applied, signals a game-changing departure by the regulator, with potentially significant ramifications for the UK asset management industry.

  • Legal Headwinds: Asia - Quarterly Report - Q3 2017 Restricted access

    Newsletter

    Submitted: 02 August 2017

    The Q3 2017 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore.

  • Directive en vue de promouvoir l'engagement à long terme des actionnaires

    Article

    Submitted: 23 June 2017

    Adoption le 3 avril 2017 de la directive (UE) 2017/828 modifiant la directive 2007/36/CE en vue de promouvoir l’engagement à long terme des actionnaires : De nouvelles obligations pour les investisseurs institutionnels et les gestionnaires d’actifs

  • New rules in the EU when acquiring (or increasing) stakes in financial sector targets

    Article

    Submitted: 14 June 2017

    From 01 October 2017, the guidelines issued jointly by The European Banking Authority (EBA), the European Insurance and Occupational Pensions Authority (EIOPA) and the European Securities and Markets Authority (ESMA) (collectively known as "ESA") will apply with regard to acquisitions and increases of “qualifying holdings” in the banking, insurance and securities sectors.

  • BEPS

    Microsite

    Last Reviewed: 13 June 2017 / Submitted: 16 November 2015

    This microsite examines the progress of the OECD’s Action Plan on Base Erosion and Profit Shifting (BEPS) to tackle a wide range of international tax issues, including taxation of the digital economy, hybrid instruments and entities, transfer pricing rules, double tax treaties, permanent establishments and country-by-country reporting.

  • Investing in start-ups Restricted access

    Seminar

    Submitted: 18 May 2017

    In this session we explore the issues that start-ups and investors encounter and some key challenges they need to overcome.

  • Legal Headwinds: Asia - Quarterly Report - Q2 2017 Restricted access

    Newsletter

    Submitted: 10 May 2017

    The Q2 2017 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore.

  • Hong Kong SFC consults market on proposed changes to standardise expanded scope of professional investors Restricted access

    Article

    Submitted: 09 March 2017

    Summary on SFC’s proposals to amend the professional investor rules to standardise and expand the categories of persons who qualify as professional investors.

  • Brexit: BaFin launches a “Welcome Page” for foreign companies considering operating a regulated business in Germany

    Article

    Submitted: 22 February 2017

    The German regulator's "Welcome Page" provides foreign companies considering operating a regulated business in Germany with an understanding of German regulatory issues.

  • Update: Distribution of investment funds in Germany

    Article

    Last Reviewed: 16 February 2017 / Submitted: 23 January 2017

    Distribution of non-German investment funds to German (retail and/or professional/institutional) investors is subject to complex requirements. This updated article discusses the new rules resulting from the implementation of AIFMD in Germany.

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