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Showing 12 out of 14 results
UK: FCA Asset Management Market Study - Interim Report
The FCA has published its Asset Management Market Study Interim Report, which can be accessed here, with annexes. The FCA sets down a clear marker as to …
#MAR_bitesize
New Market Abuse powers for the FCA (2) Powers to require information from issuers, PDMRs and persons closely associated to PDMRs The Financial Services …
#MAR_bitesize
Investment recommendations Increased scope The former Market Abuse Directive (MAD) imposed requirements designed to ensure the objective presentation of …
UK: One month to deadline for implementing FCA and PRA whistleblowing rules
Given the distractions of the summer holiday season and the aftermath of the Brexit referendum, it would be understandable if other developments slipped …
#MAR_bitesize
Extra-territorial scope of MAR: impact on non-EU firms Article 2(4) of MAR applies the "prohibitions and requirements" within MAR to behaviour that …
Material adverse change clauses – staging a return
Material adverse change (MAC) clauses aim to give buyers a right to withdraw from M&A deals on the occurrence of certain events that are …
AIFMs, UCITS managers and proprietary trading firms: EU MAR surveillance and STORs requirements apply
With just under 5 weeks to go before the Market Abuse Regulation comes into application across the EU, the European Securities and Markets Authority …
MiFID II: Where do asset managers go from here?
The one year delay to the implementation of MiFID II provided the industry with some welcome respite from the seemingly unrelenting waves of regulatory …
Market abuse update - April 2016
This will be our last quarterly Market Abuse update before 3 July 2016, the date when both the new Market Abuse Regulation and the Criminal Sanctions …
The SFC's asset management strategy for Hong Kong
In a speech last Friday to the Hong Kong investment Funds Association, Ashley Alder, CEO of the Hong Kong Securities And Futures Commission (SFC) …
UK: no Suremime-type duty of care owed directly to customer in connection with past business review
Six months after the High Court's surprising judgment in Suremime Limited v Barclays Bank plc [2015] EWHC 2277 (QB), the recent decision in CGL Group …
EU: Final ESMA Guidelines on UCITS V remuneration provisions: ESMA addresses the application of the proportionality principle under UCITS V and AIFMD
The European Securities and Markets Authority ("ESMA") has published its final guidelines on the remuneration requirements of the UCITS V directive (the …
Showing 12 out of 14 results
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