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EMIR and Frontloading

Firms that will have to come to grips with the ‘frontloading requirement’ (see previous article) will be interested in the recent ESMA Review of the EMIR Framework (2015/1254). The content […] [...]

AIFMD Passport and non-EU Jurisdictions

As mentioned in Regulatory Roundup 60, by 22 July 2015 ESMA has to provide an opinion/advice on: The functioning of the EU AIFM passport (managing and marketing) The extension of […] [...]

Remuneration Guidelines – UCITS V, AIFMD (and CRD IV)

An article in Regulatory Roundup 59 on UCITS V drew attention to the introduction of the concept of remuneration policies for UCITS management companies, with ESMA being charged with drawing […] [...]

European Long Term Investment Funds

The Regulation (2015/760) on European Long Term Investment Funds (ELTIFs) has now been published in the Official Journal – see Regulatory Roundup 64. They are designed to provide long term […] [...]

Remuneration under CRD 4 – Update

The consultation period in respect of the European Banking Authority’s (EBA) Consultation paper on ‘Sound Remuneration Policies’ (CP 2015/03) closed on 4 June. The EBA will no doubt be considering […] [...]

European Long Term Investment Funds

The European Council has formally adopted the Regulation on European Long Term Investment Funds (‘ELTIFs’). In brief ELTIFs are designed to tackle barriers to long-term investment e.g. infrastructure projects which […] [...]

Training and Competence for MiFID Firms

Generally the FCA’s Training and Competence (‘TC’) rules only apply to FCA authorised firms where certain activities (as listed in TC App 1.1) are carried on for retail persons. The […] [...]

EMSA Peer Review

As may be recalled, last July the FCA released the results of a thematic review (TR14/13) on ‘Best execution and payment for order flow’; the conclusion was that most firms […] [...]

AIFMs – Changes to Handbook

The FCA’s Quarterly Consultation Paper CP15/8 published this month will be of particular interest to AIFMs (and AIF depositaries) in that it contains various proposed rule changes that will be […] [...]

EMIR Backloading

It’s now a year (12 February 2014) since the reporting obligation to report to a Trade Repository under EMIR came into force. Firms subject to the EMIR reporting obligation may […] [...]

Use of Dealing Commission

Back in July of last year the FCA released a Discussion Paper (DP14/3) on the use of dealing commission regime – see Regulatory Roundup 57.The paper included findings from thematic […] [...]

UCITS share classes

ESMA has identified differing national practices in the interpretation of the types of share classes that are permitted under UCITS and, in the light of this, has published Discussion Paper […] [...]

MiFID II

ESMA had a busy period in the run up to Christmas with the publication of both its 645 page MiFID II Consultation Paper (2014/1570) on 19 December (together with a […] [...]

European Long-Term Investment Funds

The proposal to create a further type of fund vehicle – European Long-Term Investment Funds (ELTIFs) – has taken a significant step forward in that the European Council has approved […] [...]

Recovery and Resolution: Resolution

As we know, the Bank of England (BoE) will be the Resolution Authority for the UK – see ‘Recovery and Resolution’ article in Regulatory Roundup 58 – albeit that the […] [...]

EMIR: Trade Repository Reporting Changes

The reporting requirements arising under Article 9 of EMIR (which became obligatory from 12 February this year) are essentially based upon Implementing Regulation 1247/2012 (format and frequency of trade reports) […] [...]

EuSEF & EuVECA Update

Firms involved in, or considering, the management of Social Entrepreneurship and Venture Capital Funds may be interested to learn that ESMA has updated its Q&A on the application of the […] [...]

AIFMD Passport

Under the AIFMD as it currently stands, a marketing passport is only available to EEA AIFMs marketing EEA AIFs (strictly speaking the AIFMD only refers to EU AIFMs etc. although […] [...]

Risk Management: Credit Rating Agencies

This will be of particular interest to those firms responsible for the management of AIFs and UCITS (and occupational retirement schemes – IORPS – that are subject to Directive 2003/41/EC). […] [...]

UCITS V

Those firms subject to UCITS may want to note on the calendar that UCITS V (Directive 2014/91/EU) came into force on 17 September (see also Regulatory Roundup 53). However there […] [...]

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