投资银行监管

最新

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  • Safe-keeping of assets under AIFMD and UCITS Directive: European Commission consults on rule changes

    文章

    提交: 11 June 2018

    ​On 29 May 2018, the European Commission (Commission) published for consultation draft delegated regulations proposing amendments to the safe-keeping duties of depositaries under the Alternative Investment Fund Managers Directive (AIFMD) and the UCITS Directive. The consultation period closes on 26 June 2018.

  • The FCA’s change of address and why you may need to tell your clients

    文章

    提交: 30 May 2018

    The FCA will be moving its offices over the summer and firms may need to notify their own clients of this change.

  • Preparing to implement the MMF Regulation in the UK

    文章

    提交: 29 May 2018

    The EU’s Money Market Funds Regulation comes into effect on 21 July 2018. In the UK, the FCA has consulted (in CP18/4) on rule changes to ensure the Regulation can work properly in the UK. The consultation has now closed - a policy statement, final rules and guidance on how a fund can apply to be authorised as an MMF are expected shortly.

  • On the hook: The rise of individual and corporate accountability regimes 受限访问

    会议

    提交: 25 May 2018

    This session focuses on the use of individual and corporate accountability regimes as a tool for tackling key areas of risk within organisations, including the facilitation of tax evasion, preventing money-laundering and corruption, the introduction of deferred prosecution agreements for corporate criminal liability, and cyber-security. We provide an update on current law and regulation impacting clients in Singapore, predict future trends and offer practical guidance on minimising risk.

  • UK Investment Funds Overview (May 2018)

    文章

    提交: 24 May 2018

    This practice note provides an overview of the key structures for UK investment funds and the various categories of FCA-regulated schemes.

  • Financial Services Alerter - April 2018 developments

    新闻稿

    提交: 23 May 2018

    Issue 123 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.

  • Conduct risk and corporate governance - lessons from Carillion

    文章

    提交: 18 May 2018

    We consider the implications for senior managers and professional advisors in light of the Work and Pensions and BEIS Committees’ report into the implications of the Carillion collapse.

  • HMRC updates list of CRS reportable jurisdictions

    文章

    提交: 17 May 2018

    HMRC has removed six jurisdictions from the list of reportable jurisdictions for the purposes of the Common Reporting Standard.

  • Legal Headwinds: UK/EU - Quarterly Report - Q2 2018 受限访问

    新闻稿

    提交: 10 May 2018

    The Q2 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 April 2018 to 30 June 2018.

  • Legal Headwinds: Asia - Quarterly Report - Q2 2018 受限访问

    新闻稿

    提交: 10 May 2018

    The Q2 2018 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore.

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