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  • Legal Headwinds NL/EU - Quarterly Report - Q3 2019 Accesso limitato

    Newsletter

    Inviato: 30 July 2019

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

  • Legal Headwinds: UK/EU - Quarterly Report - Q3 2019

    Newsletter

    Inviato: 30 July 2019

    The Q3 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 July 2019 to 30 September 2019.

  • Legal Headwinds: Asia - Quarterly Report - Q3 2019 Accesso limitato

    Newsletter

    Inviato: 30 July 2019

    The Q3 2019 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions and asset managers operating in China, Hong Kong and Singapore.

  • New Prospectus Regulation: AFME publishes revised equity selling restrictions

    Articolo

    Inviato: 30 July 2019

    The Association for Financial Markets in Europe has published a revised version of its equity selling restrictions to reflect the application in full of the new Prospectus Regulation on 21 July 2019.

  • FAQs for Senior Managers: how to evidence reasonable steps Accesso limitato

    Webinar

    Inviato: 26 July 2019

    Download the slides and watch our recent webinar on demand. The final call in our SMCR implementation series focuses on FAQs for Senior Managers including how to evidence reasonable steps.

  • The Prospectus Regulation

    Articolo

    Inviato: 19 July 2019

    The Prospectus Regulation (the PR) will become fully applicable from 21 July 2019 and will replace the previous regime based on the Prospectus Directive (the PD). In Ireland, this change is effected by the Prospectus (Directive 2003/73/EC) (Amendment) Regulations 2018, which amend the Prospectus (Directive 2003/71/EC) Regulations 2005.

  • Culture and Conduct Rules Accesso limitato

    Webinar

    Inviato: 19 July 2019

    Download the slides and watch our recent webinar on demand. The fifth call in our SMCR implementation series focuses on understanding the conduct rules and the current regulatory focus on culture and conduct.

  • The new Prospectus Regulation: Key changes to the prospectus regime for equity issuers

    Articolo

    Inviato: 18 July 2019

    On 21 July 2019 the EU Prospectus Regulation becomes fully effective across the EU and applies to all propsectuses approved on or after that date. This article considers the key changes that the Prospectus Regulation makes to the current prospectus regime for equity issuers.

  • Certification Regime Accesso limitato

    Webinar

    Inviato: 12 July 2019

    Download the slides and watch our recent webinar on demand. The fourth call in our SMCR implementation series focuses on certification regime - how to allocate the client dealing function, managers of certified people, material risk takers and algorithmic traders.

  • Difficult issues for smaller asset managers Accesso limitato

    Webinar

    Inviato: 28 June 2019

    Download the slides and watch our recent webinar on demand. The third of seven calls in our SMCR implementation series focuses on difficult issues for smaller asset managers, including interpretation and application of the partnership rules, core firm proportionality for smaller asset managers, and issues for our US asset manager population.

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