Regolamentazione in Materia di Investment Banking

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  • Oversight October 2017 - Hong Kong updates its AML regime and refines AEOI requirements

    Newsletter

    Inviato: 20 October 2017

    This Oversight considers two amendment bills that were introduced this year to update Hong Kong's AML regime and the IRD's clarification regarding the business registration requirement for funds.

  • MiFID2/MiFIR Derivatives Newsflash: EU/US "common approach" agreed for derivatives trading venues

    Articolo

    Inviato: 16 October 2017

    A brief overview of a common approach for the mutual recognition of EU and US derivatives trading venues.

  • The Extension of the Senior Manager & Certification Regime

    Seminario

    Inviato: 11 October 2017

    This session looks at the FCA consultation paper on the extension of SMCR, the implications for the wider FCA regulated industry who will now have to implement this and draws on some of the lessons that have been learnt from implementing this throughout the banking industry.

  • PRIIPs: Do you need a KID for your AIF?

    Seminario

    Inviato: 11 October 2017

    This session looks at the EU PRIIPs legislation and its impact on structured products, funds and derivatives.

  • MiFID2: Documentation Updates

    Seminario

    Inviato: 11 October 2017

    MiFID2 significantly increases the scope of regulatory obligations which impact on legal agreements and compliance policies. This session outlines the key impacts on documentation and set the scene for different practical approaches adopted across the industry. We will run through a suggested roadmap for re-papering, and a discussion of FAQs.

  • The Repeal Bill: A profound change to the English legal system

    Seminario

    Inviato: 11 October 2017

    This session outlines the key provisions of the Repeal Bill as they stand; looking at the timing of the Bill and how it will convert the Acquis into English law. We identify challenges that all lawyers will face on 01 April 2019 and some unanswered questions.

  • Brexit: Implementation of a Brexit Related Reorganisation

    Seminario

    Inviato: 11 October 2017

    This session covers corporate law options for implementing Brexit related group reorganisations including business transfers, cross border mergers and Part VI transfers.

  • MiFID2: Research

    Seminario

    Inviato: 11 October 2017

    The new rules related to payment for research is the aspect of MiFID 2 that has generated the most industry debate and press attention. In this session we talk through the approaches and trends that we are seeing within the industry for different asset classes and take an in-depth look at the issues facing groups that use a global research sharing model and/or have a global execution capability. We also look ahead to what the FCA is likely to do in terms of supervision and enforcement after 03 January 2018.

  • AIFMD vs UCITS vs MiFID2

    Seminario

    Inviato: 11 October 2017

    MiFID2 implementation work has prompted a lot of industry (and media) attention on the three different structures for EU asset managers. This session discusses the practical requirements and consequences of falling under each structure, the significance of top-up permissions (and reconciling overlapping rules), and the topical question of “regulatory arbitrage”.

  • Funds Finance

    Seminario

    Inviato: 11 October 2017

    This session discusses the structures and issues within Funds Finance.

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