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Autumn Legal Business Update October 2016
Article
Submitted: 12 September 2017
Our briefing note provides a checklist of the legal agreements and compliance policies likely to be impacted by changes brought in by the UK’s implementation of MiFID2. It sets out our general views on what documentation reviews and updates firms may wish to prioritise.
Webinar
Event date: 21 November 2017
The final webinar of five in this series will discuss the practical implications of relocating or establishing an additional presence in Germany to achieve a smooth transition following Brexit. There will be an opportunity for Q&As.
Submitted: 05 September 2017
Seward & Kissel’s Memorandum looks at the Securities and Exchange Commission’s (SEC) recent amendments to Form ADV and the Investment Advisers Act 1940 (the Advisers Act) which come into force on 01 October 2017.
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.
Microsite
Last Reviewed: 31 July 2017 / Submitted: 14 December 2011
This microsite is designed to give you access to the UCITS Directives, as well as the materials which implement them in the UK, Luxembourg and Ireland.
Submitted: 12 July 2017
On 11 July 2017, the European Securities and Markets Authority (ESMA) updated its Q&As, “Application of the UCITS Directive” by including two additional questions on (a) issuer concentration and (b) group links and independence.
Submitted: 31 May 2017
The European Securities and Markets Authority (ESMA) has expressed its view that the use of a blanket order cancellation policy can, depending on the circumstances of the case, rebut the presumption of insider dealing in the situation where an order is cancelled after inside information relating to that order had been received.
Seminar
Submitted: 18 May 2017
The OECD has released its final reports on the Base Erosion and Profits Shifting (BEPS) Action Plan and the focus has now moved to the implementation of the various agreed actions in the participating jurisdictions, including the Netherlands. This session focuses on practical tax implications of BEPS for funds and asset managers.
Submitted: 12 April 2017
The Supreme Court has held that a consumer does not generally have a right to recover overpaid VAT directly from HMRC and must instead seek restitution from their supplier.
Submitted: 03 April 2017
Seward & Kissel have published the results of their most recent study examining key trends and strategies currently affecting the hedge fund marketplace.
FS Alerter: UK and EU
Legal Headwinds: Asia
Legal Headwinds: UK/EU
Legal Headwinds: NL/EU
Oversight: Hong Kong
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