07/29/2021
Interestingly, the rules relating to marketing by third country AIFMs and registered AIFMs are also included in some of the responses.
07/28/2021
Newgate Compliance (an Ocorian owned company) Managing Director, Traci Pham and Senior Consultant, Jay Pyne summarise the key points and what firms can do to plan ahead.
07/28/2021
The former will be of particular interest to mid-sized firms forecasting total assets in excess of £15bn
07/28/2021
In this Legal Update, we highlight key aspects of the Draft Guidelines and takeaways for AIs considering how to approach these new proposals in Hong Kong.
07/28/2021
The European Union Agency for the Cooperation of Energy Regulators (ACER) has published the 6th edition of its guidance on the application of the Regulation on wholesale energy market integrity
07/28/2021
In order to increase TISEA's competitive position in respect of bonds issued under programmes, lifetime fees will be charged which will vary according to specific circumstances.
07/28/2021
The CBI has made a number of key changes to Chapter 6 on 'Governance', placing the main focus on the board's responsibility in ensuring effective governance and AML / CFT compliance.
07/27/2021
The proposals form part of a broader package of reforms, which include a number of planned changes to the UK’s competition law regime.
07/27/2021
The government is now consulting on its proposals to take forward some of the recommendations raised previously.
07/27/2021
As a result of the pending regulatory updates, this function can now be performed by a single entity, without the need to appoint multiple agents in each relevant member state.
07/27/2021
The forfeiture of a sum equivalent to more than CHF 4 million has, however, been ordered.
07/27/2021
To inform its work, IOSCO undertook a fact-finding exercise that revealed, amongst other risks and challenges, a lack of transparency about the methodologies underpinning ratings or data products and an often uneven coverage of products offered across ind
07/27/2021
The DWP consultation on this statutory guidance has prompted tPR to produce its own, covering both its monetary penalties policy (as applied to non-compliance with the Regulations) and on the steps tPR expects schemes to take and report on in their annua
07/27/2021
The past year has been a difficult and unsettling one for many.
07/26/2021
These requirements are likely to apply from 2022.
07/26/2021
The guide looks in particular at recognition of judgments of English courts given under both exclusive jurisdiction clauses
07/26/2021
Should this not be the case, and an IFM delegates one or more functions included in the collective portfolio management to another authorised IFM, or to a third-party, this exemption will not apply, and the IFMs that delegate part of their functions shall
07/25/2021
While recent years have seen the non-judicial grievance mechanism established to hear complaints against multi-nationals under the Guidelines become increasingly prominent, there is still room for stakeholders to improve awareness and understanding of the
07/25/2021
The outlook for financial services regulation.
07/25/2021
Most of the collective investment undertakings are sold in the home country of establishment and cross-border distribution is still too limited.