Regolamentazione in Materia di Investment Banking

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

    Articolo

    Inviato: 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

    Inviato: 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

    Articolo

    Inviato: 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

    Articolo

    Inviato: 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.

  • ESMA’s updated Q&As on UCITS KIIDs – key changes and action points for managers

    Articolo

    Inviato: 08 April 2019

    The European Securities and Markets Authority’s (ESMA) updated Q&As bring in various changes to a UCITS’s Key Investor Information Document (KIID). This Note looks at some of the more important implications of ESMA’s guidance and offers some action points which managers should be taking to ensure compliance.

  • Financial Markets Legal Update 2019

    Seminario

    Data dell'evento: 23 May 2019

    Join us for our annual Financial Markets Legal Update in our Amsterdam office. Throughout the day we will cover a broad range of topics relevant to the financial markets and asset management sectors.

  • Financial Services Alerter - February 2019 developments

    Newsletter

    Inviato: 04 April 2019

    Issue 133 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.

  • UCITS KIIDs - ESMA updates its Q&As with clarification on disclosure of past performance and benchmark indices

    Articolo

    Inviato: 03 April 2019

    On 29 March 2019, the European Securities and Markets Authority (ESMA) published updated Q&As on the UCITS Directive. In modifying one existing Q&A, deleting another and including four new ones, ESMA has clarified how a UCITS should disclose past performance and benchmark indices in its Key Investor Information Document (KIID).

  • The Global LEI System and Other Unique Identifiers

    Articolo

    Ultima consultazione: 31 March 2019 / Inviato: 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.

  • EMIR Newsflash: ESMA public statement on calculation against clearing thresholds

    Articolo

    Inviato: 29 March 2019

    ​An overview of the European Securities and Markets Authority's (ESMA) statement on the implementation of the new EMIR Refit regime for the clearing obligation for financial and non-financial counterparties.

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