Investment Bank Regulatory

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  • Financial Services Alerter - April 2019 developments

    Newsletter

    Submitted: 16 May 2019

    Issue 135 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.

  • EMIR REFIT: an overview

    Article

    Last Reviewed: 15 May 2019 / Submitted: 15 May 2019

    A summary of the changes to EMIR that come into effect in June 2019.

  • Regulatory Initial Margin: the time for the buy-side to act is now

    Article

    Last Reviewed: 03 May 2019 / Submitted: 10 January 2019

    A summary of the challenges to be faced by buy-side firms with respect to regulatory initial margin.

  • Cross border distribution of AIFs and UCITS - new rules approved by European Parliament

    Article

    Submitted: 01 May 2019

    On 16 April 2019, the European Parliament (EP) voted in favour of a directive and a regulation which, together, bring in new rules for the cross-border distribution of AIFs and UCITS in the EU, including the ability to pre-market AIFs, new requirements around local facilities for funds sold to retail investors and a regime whereby a manager can de-notify an AIF or a UCITS which it no longer wishes to market in a given Member State.

  • Financial Services Alerter - March 2019 developments

    Newsletter

    Submitted: 29 April 2019

    Issue 134 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.

  • Legal Headwinds: Asia - Quarterly Report - Q2 2019 Restricted access

    Newsletter

    Submitted: 29 April 2019

    The Q2 2019 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore.

  • SEC decision could enable active ETF Managers to reach their full potential - will ESMA follow suit?

    Article

    Submitted: 17 April 2019

    In a significant development for the Exchange Traded Funds (ETF) industry, the U.S. Securities and Exchange Commission (SEC) has given conditional approval for a new non-transparent ETF structure, which avoids the need to disclose its portfolio holdings.

  • Legal Headwinds: UK/EU - Quarterly Report - Q2 2019

    Newsletter

    Submitted: 17 April 2019

    The Q2 2019 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to asset managers and financial institutions operating in the UK for the period from 01 April 2019 to 30 June 2019.

  • UK TPR - FCA further extends the period to make notifications to 30 May

    Article

    Submitted: 15 April 2019

    The FCA is extending to 30 May 2019 the deadline for inbound passporting EEA firms and funds to notify it of a wish to enter the UK’s Temporary Permissions Regime - updates to already made notifications can be made no later than 16 May 2019.

  • FCA fires warning shot over approval of financial promotions

    Article

    Submitted: 12 April 2019

    ​In a Dear CEO letter published on 11 April 2019, the FCA sends out a further warning shot that it will take action where necessary against firms which approve financial promotions for unauthorised entities without having performed the due diligence to ensure that the promotion is fair, clear and not misleading.

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