Regulated funds

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• Oversight February 2019 - SFC issues Guide on the Use of Financial Derivative Instruments for Unit Trusts and Mutual Funds

  Newsletter

  Submitted: 15 February 2019

  This Oversight considers the Guide on the Use of Financial Derivative Instruments for Unit Trusts and Mutual Funds published by the SFC on 17 December 2018.

• Launch of the Asia Region Funds Passport

  Article

  Submitted: 14 February 2019

  ​The Asia Region Funds Passport was launched on 1 February 2019. The Passport will enable cross-border offerings of managed funds to retail investors while maintaining effective legal and regulatory arrangements for investor protection.

• The FCA’s policy statement following the Asset Management Market Study: impact on fund managers

  Article

  Submitted: 06 February 2019

  We assess the impact the Financial Conduct Authority’s policy statement, which sets out the second set of remedies for the funds industry following an industry consultation on its Asset Management Market Study, has on fund managers.

• Central Bank of Ireland publishes Markets Update with preparations for Brexit at the forefront

  Article

  Submitted: 05 February 2019

  On 04 February 2019, the Central Bank of Ireland published a Markets Update, providing information on (among other things) a number of issues to help the Irish funds industry prepare for Brexit.

• All change - the review of Irish limited partnership law in 2019 should be good news for private fund managers

  Article

  Submitted: 31 January 2019

  The private funds industry in Ireland is likely to see new opportunities as a result of potentially significant changes to Irish limited partnership law in 2019, offering enhanced flexibility both for AIFs established as regulated investment limited partnerships and those structured as unregulated 1907 limited partnerships.

• New FCA CP19/04 - optimising SMCR and feedback to DP16/4 Overall Responsibility and the legal function

  Article

  Submitted: 24 January 2019

  This article will cover the key proposals of the recently published FCA Consultation Paper 19/4 and the next steps for SMCR.

• UK Investment Funds Overview

  Article

  Last Reviewed: 16 January 2019 / 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.

• Brexit - ESMA Statement reminds firms of their obligations on disclosure of information to clients under MiFID

  Article

  Submitted: 19 December 2018

  On 19 December 2018, the European Securities and Markets Authority (ESMA) issued a Statement reminding investment firms and credit institutions which provide investment services (together, firms) of their obligations to provide clients with accurate disclosure on the impact on the provision of services and investors’ rights that may emerge as a result of the UK leaving the EU (Brexit).

• BREXIT: German Ministry of Finance makes statement in respect of MoUs with the FCA

  Article

  Submitted: 19 December 2018

  The German Ministry of Finance (Bundesministerium der Finanzen - BMF) has sent the German Fund Association (BVI) positive confirmation in respect of MoUs that are still to be concluded with the FCA.

• UK Temporary Permissions Regime - EEA UCITS to be permitted to add new sub-funds after Exit Day

  Article

  Submitted: 10 December 2018

  On 07 December 2018, in a revised version of its Collective Investment Schemes (Amendment etc) (EU Exit) Regulations 2019 (the draft SI), HM Treasury provided the welcome confirmation that a sub-fund of an umbrella EEA UCITS would be able to take advantage of the UK’s temporary permissions regime (TPR) even if the sub-fund is notified to the FCA after Exit Day, so long as the umbrella fund is already in the TPR.

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