Réglementaire - Banques d'Investissement

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  • Oversight July 2017 - Update on Hong Kong's open ended fund companies

    Newsletter

    Envoyé: 21 July 2017

    This Oversight summarises the latest key proposals for Hong Kong’s open-ended fund company regime by reference to the new equivalent in Singapore.

  • Oversight July 2017 - SFC circular clarifies the competence requirements to provide asset management services

    Newsletter

    Envoyé: 20 July 2017

    This Oversight summarises the SFC's circular clarifying the competence requirements for existing persons seeking to be licensed for Type 9 (asset management) regulated activity.

  • MiFID2 - FCA publishes final rules on conduct of business requirements

    Article

    Envoyé: 19 July 2017

    On 03 July 2017, the Financial Conduct Authority (FCA) published Policy Statement, PS 17/19, containing the final rules by which it will transpose key conduct of business requirements under MiFID2. These will affect what the FCA acknowledges will be “a wide range of regulated and recognised firms".

  • Market Abuse Regulation knowledge centre

    Article

    Dernière révision: 17 July 2017 / Envoyé: 25 April 2016

    Our Market Abuse Regulation knowledge centre provides you with access to the key materials relating to the EU’s revisions to its 2003 Market Abuse Directive (MAD), which have led to the adoption of a new Market Abuse Regulation (MAR) and associated recast Directive (CSMAD).

  • Senior Managers and Certification Regime Extension

    Outil de suivi

    Dernière révision: 17 July 2017 / Envoyé: 23 March 2016

    A practical guide to preparing for the proposed extension of the senior managers and certification regime to all FMSA authorised persons.

  • Interpretation of law post-Brexit

    Blog Post

    Envoyé: 14 July 2017

    The publication of the European Union (Withdrawal) Bill and the UK Government’s position paper on ongoing EU proceedings sheds some light on how the UK courts will approach interpreting EU legislation retained in the UK post-Brexit, but questions and difficulties remain.

  • Towards transition: Brexit & the EU

    Blog Post

    Envoyé: 13 July 2017

    This week, we hosted an event at our London office (and simultaneously live-streamed for those unable to join in person), on the topic of business transition in the context of Brexit and the EU.

  • ESMA updates its Q&As on UCITS

    Article

    Envoyé: 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 updates its Q&As on AIFMD

    Article

    Envoyé: 12 July 2017

    On 11 July 2017, the European Securities and Markets Authority (ESMA) updated its Q&As, “Application of the AIFMD” by including three additional questions regarding reporting information to national regulators.

  • Financial Services Alerter - May 2017 developments

    Newsletter

    Envoyé: 11 July 2017

    Issue 112 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.

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