Réglementaire - Banques d'Investissement

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  • Financial Services Alerter - December 2017 developments

    Newsletter

    Envoyé: 16 January 2018

    Issue 119 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.

  • Oversight January 2018 - Advertising Guidelines for Retail Funds Amended

    Newsletter

    Envoyé: 15 January 2018

    This Oversight considers and analyses the changes introduced by the SFC’s new FAQ34A to its FAQs on Advertising Materials of Collective Investment Schemes Authorised under the Product Codes.

  • Oversight January 2018 - SFC Consultation on Major Changes to Code on Unit Trusts and Mutual Funds

    Newsletter

    Envoyé: 12 January 2018

    This Oversight considers a Consultation Paper on Proposed Amendments to the Code on Units Trusts and Mutual Funds published by the Securities and Futures Commission on 18 December 2017.

  • Das neue Kapitalanlagerundschreiben

    Article

    Envoyé: 11 January 2018

    Am 12. Dezember 2017 hat die BaFin das neue Kapitalanlagerundschreiben 11/2017 veröf-fentlicht.

  • The new Capital Investment Circular

    Article

    Envoyé: 11 January 2018

    On 12 December 2017, the German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht - “BaFin”) published the new Capital Investment Circular 11/2017 (Capital Investment Circular).

  • Dutch legislative proposal on senior non-preferred debt

    Article

    Envoyé: 10 January 2018

    ​With MiFID2, PRIIPS and the Benchmark Regulation all having entered into effect this year, we now alert you to another highly relevant development for capital market practitioners: senior non-preferred debt instruments by Dutch banks and investment firms.

  • Luxembourg regulator tightens policy on a UCITS’s ability to invest in non-UCITS ETFs

    Article

    Envoyé: 09 January 2018

    On 05 January 2018, the Luxembourg securities regulator, the Commission de Surveillance du Secteur Financier, (CSSF) announced an important change of policy, restricting the ability of Luxembourg UCITS to invest in non-UCITS exchange traded funds (ETFs) and requiring UCITS to disinvest from existing positions as soon as possible.

  • Licence application for depositaries and AIFMs

    Article

    Envoyé: 05 January 2018

    ​This article provides a brief description of the scope and impact of the licence application for depositaries and Alternative Investment Fund Managers (AIFMs).

  • The Global LEI System and Other Unique Identifiers

    Article

    Dernière révision: 31 December 2017 / Envoyé: 10 February 2014

    An overview of the Global LEI System considering some of its practical implications for financial institutions and, in particular, its relationship to the reporting obligations under EMIR including Unique Transaction Identifiers and Unique Product Identifiers.

  • Benchmarks Regulation: "written plan" required from January 2018

    Article

    Envoyé: 29 December 2017

    The European Benchmark Regulation will begin to apply from 01 January 2018 and the key day-one obligation for “users” will be to have a “robust written plan”. Simmons & Simmons has developed a template to assist asset managers and other buy-side firms in meeting this obligation.

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