Regulated funds

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• 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.

• Seward & Kissel briefing: What Hedge Funds and Private Equity Funds need to know when providing subordinated debt through unitranche facilities

  Article

  Submitted: 09 March 2017

  ​Seward & Kissel’s memorandum examines the key aspects of Unitranche Loan Structures.

• Brexit: BaFin launches a “Welcome Page” for foreign companies considering operating a regulated business in Germany

  Article

  Submitted: 22 February 2017

  The German regulator's "Welcome Page" provides foreign companies considering operating a regulated business in Germany with an understanding of German regulatory issues.

• The German Master-KVG model - access to the institutional investor

  Article

  Submitted: 15 February 2017

  Recently, there has been a growth in the use of the Master-KVG in Germany, with the model now established as the preferred investment platform for German institutional investors. This note examines the structure of the Master-KVG and answers a number of FAQs.

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