Regulated funds

Latest

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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.

  • UCITS Tracker Restricted access

    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.

  • ESMA updates its Q&As on UCITS

    Article

    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.

  • ESMA considers use of blanket order cancellation policies in update of its Q&A on MAR

    Article

    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.

  • BEPS: Implications for Funds and Asset Managers

    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.

  • Recovery of overpaid VAT by customers direct from HMRC

    Article

    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.

  • Seward & Kissel briefing: new hedge fund study published

    Article

    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.

  • CNMV enhances retail investor protection in the CFD market

    Article

    Submitted: 31 March 2017

    Intermediaries marketing certain speculative products in Spain must comply with strict measures to ensure retail investors are fully aware of complexity and associated risks.

  • The FCA fires a warning shot over firms’ failures on best execution and dealing commission

    Article

    Submitted: 14 March 2017

    The FCA has flagged up what it sees as failings by investment management managers to put into practice the regulator's findings in relation to best execution and use of dealing commission.

  • Seward & Kissel briefing: DOL adopts proposal to delay the Fiduciary Rule under ERISA

    Article

    Submitted: 09 March 2017

    Seward & Kissel’s memorandum examines the decision of the Department of Labor (DOL) to extend the date of the Fiduciary Rule under ERISA by 60 days.

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