Vermogensbeheer

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  • EMIR Newsflash: ESMA regulatory forbearance on derivatives trading obligation

    Artikel

    Ingediend: 15 July 2019

    A brief overview of the ESMA public statement on the derivatives trading obligation following the entry into force of EMIR REFIT.

  • France Interdealer Exemption Development

    Artikel

    Ingediend: 15 July 2019

    The French government released Decree No 2019-655 formalising the Interdealer Exemption outlined in the AMF-ACPR letter (dated 12 February 2019), with effect from 29 June 2019.

  • Certification Regime Beperkte toegang

    Webinar

    Ingediend: 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.

  • CNMV enhances retail investor protection in the CFD and Binary Options market

    Artikel

    Ingediend: 04 July 2019

    ​On 29 June 2019, a CNMV Resolution was published in the Spanish Official Gazette - Boletín Oficial del Estado (BOE) in relation to product intervention measures related to binary options and contracts for differences.

  • MAS clarifies regulatory expectations on IAC Guidelines

    Artikel

    Ingediend: 01 July 2019

    In our previous bulletin, we analysed the implications of Monetary Authority of Singapore’s (MAS) proposal to expand the scope of the Guidelines on Individual Accountability and Conduct (Guidelines) (CP2). In this sequel bulletin, we recapitulate some of the key points from MAS’ feedback to the first consultation issued recently on 06 June 2019, and chart the timeline and course ahead.

  • FCA publishes first annual report on its regulatory perimeter

    Artikel

    Ingediend: 28 June 2019

    On 19 June 2019, the FCA published their first ever report on the FCA’s regulatory perimeter.

  • The Global LEI System and Other Unique Identifiers

    Artikel

    Laatst gecontroleerd: 28 June 2019 / Ingediend: 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.

  • Difficult issues for smaller asset managers Beperkte toegang

    Webinar

    Ingediend: 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.

  • The new EU investment firm prudential regime - an overview Beperkte toegang

    Artikel

    Ingediend: 27 June 2019

    The EU is introducing a new prudential regime for non-systemic investment firms. This article gives an overview of its requirements and assesses its impact.

  • SMCR implementation: The Final Countdown, are you ready?

    Webinar

    Datum: 19 July 2019

    Our series of practical webinars is designed to help you find solutions to some of the most commonly asked questions regarding SMCR implementation.

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