Regulated funds


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  • BaFin changes its administrative practice on performance fee structures for UCITS


    Submitted: 18 October 2018

    The German Federal Financial Supervisory Authority (BaFin) has changed its administrative practice on performance fee structures for UCITS.

  • Irish regulator streamlines procedures for certain UCITS and RIAIF authorisation and post-authorisation amendment submissions


    Submitted: 15 October 2018

    On 09 October 2018, the Central Bank of Ireland (the Central Bank) confirmed changes to how it will now review UCITS and Retail Investor AIFs (RIAIFs) authorisations/approvals and post-authorisation amendments.

  • UK and Hong Kong financial regulators agree on the mutual recognition of retail funds


    Submitted: 08 October 2018

    ​On 08 October 2018, the UK’s Financial Conduct Authority (FCA) and the Hong Kong Securities and Futures Commission (SFC) entered into a Memorandum of Understanding (MoU).

  • ESMA updates its MAR Q&As to clarify when disclosure of inside information can be delayed


    Submitted: 03 October 2018

    On 01 October 2018, the European Securities and Markets Authority updated its Q&As on the Market Abuse Regulation to clarify issues around when a credit or financial institution can delay disclosure of inside information.

  • Irish UCITS investments in non-UCITS investment funds - Update


    Submitted: 27 September 2018

    ​Changes by the Central Bank of Ireland (CBI) to the rules on permitted investment by UCITS may require action to be taken by 05 October 2018 where a UCITS is invested in a non-UCITS investment fund which is not in compliance with the CBI’s requirements.

  • The Securitisation Regulation: key points for UCITS managers


    Submitted: 17 September 2018

    The EU’s Securitisation Regulation becomes effective from 01 January 2019. We assess the impact the Regulation has on UCITS, UCITS management companies and delegate investment managers.

  • Irish regulator sets deadline of 30 November 2018 for review of UCITS performance fees


    Submitted: 07 September 2018

    By a letter dated 04 September 2018, the CBI announced that it will require all Irish UCITS management companies, including self-managed UCITS (ManCos), managing UCITS charging performance fees to review their existing performance fee methodologies to ensure they are in compliance with the relevant CBI Guidance and for the Chair of the Board of each ManCos to confirm in writing to the CBI by 30 November 2018 that such a review has been conducted and its outcome.

  • 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.

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