资产管理

最新

1 至 10 of 2023

  • Toezichtrechtelijke Kwartaalupdate

    网上研讨会

    活动日期: 12 September 2017

    Het is uitdagend om de relevante toezichtrechtelijke ontwikkelingen voor de asset management sector bij te houden en alle verplichtingen tijdig te implementeren. Het gevoel iets over het hoofd te zien is groot in deze tijd van niet aflatende regelgeving.

  • Oversight August 2017 - Revamp of SFC post authoritisation process for retail funds

    新闻稿

    提交: 16 August 2017

    This Oversight takes a brief look at the background and highlights key differences between the old and new regimes that asset managers should be aware of.

  • FCA moves the goalposts on application of MiFID2 research unbundling rules to non-EEA delegates

    文章

    提交: 15 August 2017

    ​A letter from the FCA, outlining how it expects certain MiFID2 requirements to be applied, signals a game-changing departure by the regulator, with potentially significant ramifications for the UK asset management industry.

  • Offer of digital tokens in Singapore

    文章

    提交: 15 August 2017

    The growing popularity of initial coin offerings has attracted the attention of the Monetary Authority of Singapore and the Commercial Affairs Department, who have since issued statements on this subject.

  • Spanish steps towards MiFID2

    文章

    提交: 11 August 2017

    The Spanish Ministry of Economy, Industry and Competitiveness has published a preliminary draft law and draft Royal Decree implementing MiFID2 in Spain.

  • FCA Asset Management market study - final report roundtable

    研讨会

    活动日期: 12 September 2017

    This session will provide you and your industry peers with an opportunity to discuss the Final Report of the FCA Asset Management Market Study published in June 2017, and offer any observations, comments and insight on the proposals.

  • Financial Services Alerter - July 2017 developments

    新闻稿

    提交: 09 August 2017

    Issue 114 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.

  • Further AML/CTF obligations relating to Qatar in the UAE 受限访问

    文章

    提交: 08 August 2017

    On 06 August 2017, the Dubai Financial Services Authority (the DFSA) issued a "Dear SEO" letter (issued pursuant to the DIFC Regulatory Law 2004 (as amended)) notifying all DFSA Authorised Firms and Relevant Persons of existing and updated AML/CTF obligations relating to Qatar.

  • Wanted! 480 independent NEDs for Authorised Fund Managers

    文章

    提交: 07 August 2017

    The FCA is consulting on proposed changes to the governance of authorised fund managers (AFMs) which would involve the appointment of an estimated 480 independent non-executive directors (NEDs) across the UK asset management sector.

  • AIG OFAC enforcement decision: Lessons in self-disclosure and cooperation

    文章

    提交: 07 August 2017

    The recent AIG OFAC Enforcement Notice (the AIG Notice) provides valuable insight into areas that international insurance and financial services organisations should be mindful of from a sanctions-risk mitigation perspective. The AIG Notice also presents some valuable lessons, in light of OFAC’s Economic Sanctions Enforcement Guidelines on some of the potential benefits of self-disclosure and co-operation.

1 至 10 of 2023