投資銀行規制

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  • ESRB recommendation on liquidity and leverage risks in investment funds

    記事

    送信済み: 21 February 2018

    On 14 February 2018 the European Systemic Risk Board (ESRB) published its “Recommendation of the European Systemic Risk Board of 07 December 2017 on liquidity and leverage risks in investment funds” (the Recommendation). The Recommendation seeks to address perceived systemic risks in the investment funds sector in relation to redemptions in times of market stress.

  • Seward & Kissel briefing: Annual regulatory reminders

    記事

    送信済み: 14 February 2018

    Seward & Kissel publishes its 2018 annual regulatory reminders memorandum.

  • Seward & Kissel briefing: Annual obligation to update Form ADV

    記事

    送信済み: 09 February 2018

    Securities and Exchange Commission (SEC) registered investment advisers with a 31 December year end must update Form ADV on or before 31 March 2018.

  • Legal Headwinds: UK/EU - Quarterly Report - Q1 2018 制限付きアクセス

    ニュースレター

    送信済み: 09 February 2018

    The Q1 2018 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 January 2018 to 31 March 2018.

  • Financial Services Alerter - January 2018 developments

    ニュースレター

    送信済み: 09 February 2018

    Issue 120 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.

  • Breakfast Briefing - How to raise money from pension schemes in France, Germany and The Netherlands

    セミナー

    イベントの日付: 08 March 2018

    In this session we will focus on structuring products for Dutch, French and German institutional pension investors and the practicalities of distributing fund units, covering many regulatory developments.

  • Toezichtrechtelijke Kwartaalupdate 制限付きアクセス

    ウェビナー

    送信済み: 06 February 2018

    ​Het Financial Services team van Simmons & Simmons sprak dinsdag 23 januari tijdens de Toezichtrechtelijke Kwartaalupdate over ontwikkelingen die u niet mag missen. In deze (webinar-)editie betrof het een algemene update over SFTR, MLD4, MiFID2, PRIIPS, de Benchmark Regulation en SRD, alsook een verdieping inzake veelgehoorde MiFID2 implementatie vragen en research unbundling.

  • AFM publishes best practices for AIFMs

    記事

    送信済み: 31 January 2018

    On 23 January 2018, the Dutch supervisor Autoriteit Financiële Markten (AFM) published the outcome of the review of compliance with the Alternative Investment Fund Management Directive (AIFMD) by Alternative Investment Fund Managers (AIFMs) who were granted an AIFMD licence by operation of law back in 2014.

  • Key risks for Asset Managers and Financial Institutions

    セミナー

    送信済み: 26 January 2018

    Asterisk is an initiative that forecasts the five key risks facing asset managers and financial institutions in 2018. Asterisk is part of a wider campaign to encourage discussion around these highly topical issues and to demonstrate how we can assist our clients navigate these risks going forward. The Hong Kong office will commence a series of roundtables in the coming months to facilitate this process.

  • Financial Services Alerter - December 2017 developments

    ニュースレター

    送信済み: 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.

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