资产管理

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  • Less than 12 months to Brexit: Are you ready? 受限访问

    网上研讨会

    提交: 25 April 2018

    Find training materials and on demand videos from our "Less than 12 months to Brexit: Are you ready?" event.

  • Shareholder Rights Directive II: EU consultation on implementing regulations 受限访问

    文章

    提交: 25 April 2018

    An overview of the EU consultation on SDR II published on 12 April 2018.

  • Senior managers and certification regime for banks 受限访问

    追踪器

    最后审查: 18 April 2018 / 提交: 16 December 2014

    A practical guide for HR to the new UK senior managers regime.

  • Senior Managers and Certification Regime Extension

    追踪器

    最后审查: 18 April 2018 / 提交: 23 March 2016

    A practical guide to preparing for the proposed extension of the senior managers and certification regime to all FMSA authorised persons.

  • SEC Regulation outside the US

    会议

    活动日期: 18 June 2018

    We will again be hosting SEC Regulation outside the US on 18-20 June 2018. SEC Regulation outside the US is now in its 21st year and is the only event of its kind to offer delegates a thorough understanding of the complexities and nuances of the legislative processes and how SEC practices can affect your business.

  • FCA Business Plan 2018/2019

    文章

    提交: 17 April 2018

    ​A quick overview of the new FCA business plan for 2018/19.

  • (Still) Wanted! 480 Independent NEDs for Authorised Fund Managers

    文章

    提交: 13 April 2018

    The FCA has published a Policy Statement (PS18/8) which implements the first set of remedies outlined in the Final Report (MS15/2.3) following the Asset Management Market Study published on 28 June 2017. These remedies have been the subject of a formal consultation process (CP17/18). Below we comment on the governance aspects of PS18/8. The FCA has also published a further Consultation Paper (CP18/9) which focuses on information provided to investors on fund objectives and the use of benchmarks.

  • Key SMCR takeaways from the FCA and PRA Business Plans

    文章

    提交: 13 April 2018

    ​A summary of the key takeaways from the FCA and PRA Business Plans for 2018/2019 in relation to the extension of the Senior Managers & Certification Regime (SMCR).

  • FCA publish Policy Statement and further consultation paper: Asset Management market study

    文章

    最后审查: 12 April 2018 / 提交: 05 April 2018

    The FCA has today published a Policy Statement (PS18/8) which implements the first set of remedies outlined in the Final Report (MS15/2.3) in respect of the Asset Management Market Study. The FCA has also published a further Consultation Paper (CP18/9) on fund objectives and the use of benchmarks and an Occasional Paper (OP32) in respect of the all-in fee and the possible standardisation of disclosure of fees and charges.

  • SFTR Project Plan

    文章

    最后审查: 12 April 2018 / 提交: 30 June 2016

    SFTR Project Plan for full scope UK AIFMs, UCITS management companies/investment companies.

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