Réglementaire - Banques d'Investissement

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  • AIFMD Annex IV reporting: FCA updating forms AIF001 and AIF002 for use for Q4 2017 reports

    Article

    Envoyé: 20 November 2017

    ​The UK's Financial Conduct Authority (FCA) announces that new Annex IV reporting forms AIF001 and AIF002 will be in place in time for quarterly reports due in January 2018.

  • MiFID2: Crunch time

    Webinaire

    Dernière révision: 14 November 2017 / Envoyé: 25 October 2017

    It’s crunch time for MiFID2 and we're here to help you with your final preparations through our series of webinars. Access the webinar recording on MiFID2: Product governance.

  • Combatting trade based money laundering Accès restreint

    Séminaire

    Envoyé: 13 November 2017

    Slides from our Round table discussion, in conjunction with Pelican and Dow Jones, which focused on the increasing use of trade as a vehicle for money laundering and terrorist financing activities. A number of insights were shared on the latest updates to local and global regulatory frameworks, the current techniques and methods being adopted by criminals and the role of technology as a method of increasing controls.

  • Extending the Senior Managers & Certification Regime: our response to the Consultation Paper

    Article

    Envoyé: 10 November 2017

    We highlight the key points set out in our response to Consultation Paper (CP17/25) on the extension of the Senior Managers & Certification Regime (SMCR) to all FCA solo-regulated firms.

  • MiFID2: expected amendments to fund and managed account documentation for UK AIFMs

    Article

    Dernière révision: 06 November 2017 / Envoyé: 19 September 2017

    We summarise the key amendments which we expect hedge fund managers (full scope UK AIFMs) will need to make to AIF and managed account documents in light of MiFID2.

  • BaFin publishes revised MaRisk 2017 including clarifications on outsourcing

    Article

    Envoyé: 06 November 2017

    The German Federal Financial Supervisory Authority (BaFin) has published Circular 09/2017 regarding the minimum requirements on risk management for financial institutions (Rundschreiben 09/2017 (BA) - Mindestanforderungen an das Risikomanagement or "MaRisk").

  • Financial Services Alerter - October 2017 developments

    Newsletter

    Envoyé: 02 November 2017

    Issue 117 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 - Q4 2017

    Newsletter

    Envoyé: 01 November 2017

    The Q4 2017 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore.

  • Legal Headwinds: UK/EU - Quarterly Report - Q4 2017 Accès restreint

    Newsletter

    Envoyé: 31 October 2017

    The Q4 2017 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 October 2017 to 31 December 2017.

  • MiFID2: SEC publishes "no-action" relief in respect of research payments to US brokers

    Article

    Envoyé: 26 October 2017

    On 26 October 2017, the US Securities and Exchange Commission (SEC) issued three "no-action" letters in respect of research payments to US brokers to enable them to comply with research payment provisions under MiFID2 after 03 January 2018.

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