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Autumn Legal Business Update October 2016
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.
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.
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.
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.
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.
FS Alerter: UK and EU
Legal Headwinds: Asia
Legal Headwinds: UK/EU
Legal Headwinds: NL/EU
Oversight: Hong Kong
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