Regulated funds


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  • FCA investment platforms market study interim report: impact on asset managers


    Submitted: 30 July 2018

    This Note examines the key issues arising from the Financial Conduct Authority’s (FCA) interim report on its investment platforms market study and assess how it impacts asset managers.

  • ESMA updates its guidance on AIFMD and the UCITS Directive


    Submitted: 24 July 2018

    On 23 July 2018, the European Securities and Markets Authority (ESMA) published updated versions of its Q&As, Application of the Alternative Investment Fund Managers Directive (AIFMD) and Application of the UCITS Directive. Both documents consider where supervisory responsibility lies when MiFID services are provided through a branch in a different Member State from that of alternative investment fund manager (AIFM) or UCITS Management Company (UCITS ManCo). The UCITS Q&As also provide guidance as to (a) whether netting/hedging arrangements can be taken into account when calculating issuer concentration limits and (b) a UCITS’s ability to invest in a collective investment undertaking with different investment strategies or investment restrictions.

  • FCA publishes interim report on investment platforms market study


    Submitted: 16 July 2018

    On 16 July 2018, the Financial Conduct Authority (FCA) published its interim report on its investment platforms market study, which looked at competition between investment platforms in the interest of consumers.

  • MMF Regulation - the FCA publishes its final rules


    Submitted: 13 July 2018

    The EU’s Money Market Funds Regulation comes into effect on 21 July 2018. Following its consultation in CP18/4, the FCA has now published a policy statement (PS18/17) containing its final rules. These include a number of changes to the original proposals, having taken into account industry feedback.

  • Breakfast Briefing Restricted access


    Submitted: 26 June 2018

    Vertrieb von Investmentfonds im Lichte der neuen Richtlinien- und Verordnungsentwürfe der EU-Kommission.

  • Preparing to implement the MMF Regulation in the UK


    Last Reviewed: 25 June 2018 / Submitted: 29 May 2018

    The EU’s Money Market Funds Regulation comes into effect on 21 July 2018. In the UK, the FCA has consulted (in CP18/4) on rule changes to ensure the Regulation can work properly in the UK. The consultation has now closed - a policy statement, final rules and guidance on how a fund can apply to be authorised as an MMF are expected shortly.

  • Safe-keeping of assets under AIFMD and UCITS Directive: European Commission consults on rule changes


    Submitted: 11 June 2018

    ​On 29 May 2018, the European Commission (Commission) published for consultation draft delegated regulations proposing amendments to the safe-keeping duties of depositaries under the Alternative Investment Fund Managers Directive (AIFMD) and the UCITS Directive. The consultation period closes on 26 June 2018.

  • The FCA’s change of address and why you may need to tell your clients


    Submitted: 30 May 2018

    The FCA will be moving its offices over the summer and firms may need to notify their own clients of this change.

  • UK Investment Funds Overview (May 2018)


    Submitted: 24 May 2018

    This practice note provides an overview of the key structures for UK investment funds and the various categories of FCA-regulated schemes.

  • GDPR for UK regulated funds


    Submitted: 11 May 2018

    GDPR requirements replace and extend the current data protection regime. This note summarises the main changes and sets out actions that fund managers must take.

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