AIFMD - Complyport UK Consultancy Service

EU Commission proposes changes to UCITS V and AIFMD safekeeping regimes.

In an attempt to implement the European Securities and Markets Authority (“ESMA”)’s recent opinion on asset segregation and depositary delegation, the EU Commission published two draft Delegated Regulations with the […] [...]

Money Market Funds Regulations 2018

The Money Market Funds Regulations 2018 (the “UK MMF Regulations”) are made in relation to EU Regulation 2017/1131 on money market funds (“MMF Regulation”) which will apply in the UK […] [...]

Proposed changes to the AIFM and UCITS Directives

Of relevance to: All UCITS Management Companies, AIFMs and those managing AIFs Key date: Adoption planned by May 2019 The European Commission (“EC”) has published a proposed directive and a […] [...]

Brexit: EC notices issued stating potential consequences relating to UCITS, MiFID and AIFMD

Of relevance to: All firms involved in Asset Management and Markets in Financial Instruments Key date: 30 March 2019 The UK will become a ‘third country’ (being a country that […] [...]

Illiquid Assets and Open-ended Funds

Of Relevance to: Managers of open-ended funds The FCA has published Discussion Paper DP17/1 on “Illiquid assets and open-ended funds”. DP17/1 concerns itself with the liquidity within a scheme – […] [...]

UCITS and AIFs: Transparency Requirements

Of relevance to: UCITS management companies and AIFMs UCITS and AIFs: Transparency Requirements A reminder to UCITS management companies and AIFMs that certain transparency obligations arising under the Securities Financing […] [...]

AIFMD Passport: Non-EU Jurisdictions

Of relevance to: AIFMs and, non-EU fund managers As we know (see Regulatory Roundup 78) the AIFMD allows for the extension of the marketing passport to EU AIFMs of non-EU […] [...]

AIFMD Passport: ESMA Advice re non-EU Jurisdictions

Of relevance to: AIFMs; non-EU fund managers Although the AIFMD marketing passport simplifies the marketing of EU AIFs by EU AIFMs, under the current AIFMD regime, the marketing by non-EU […] [...]

Brexit and its Implications

Brexit and its Implications The votes have been counted and ‘Brexit’ has won the day. The UK electorate has voted 52% to 48% to leave the European Union (EU). The […] [...]

The votes have been counted and ‘Brexit’ has won the day.

The votes have been counted and ‘Brexit’ has won the day. Whilst the Government considers what exactly that means for the UK as a whole, and what needs to be […] [...]

Brexit – What happens if it happens?

The run up to the Brexit vote seems to be heavy on aspirations but light on detail – what might be the implications for the financial services sector. In terms […] [...]

UCITS V and Securities Financing Transactions Regulation: Changes to the Handbook

Of relevance to: UCITS management companies, AIFMs The FCA has published Consultation Paper CP16/14 – “UCITS V Level 2 Regulation, SFTR and consequential changes to the Handbook”. In basic terms […] [...]

Remuneration Guidelines: UCITS V and AIFMD

Of Relevance to: UCITS management companies; AIFMs Remuneration Guidelines: UCITS V and AIFMD UCITS V introduces the need for UCITS management companies to establish and apply remuneration policies and practices […] [...]

AIFMD: Passport Extension Update

Last July ESMA provided its advice and opinion to the European Parliament, the Council and the Commission on: the extension of the passport regime to non-EEA AIFMs; and the marketing […] [...]

AIFMD: Annex IV Reporting

A reminder that the 31 December 2015 is a key reporting date for AIFMs: both small registered AIFMs and small authorised AIFMs are required to report annually with the reporting […] [...]

AIFMD Passport Extension: Second Round

It will be recalled that in July ESMA published its advice (2015/1236) on the application of the AIFMD passport to non-EEA AIFMs and AIFs. At the time ESMA only issued […] [...]

Disclosure Requirements

The FCA’s commitment to create a sustainable regulatory framework – and recognition that overloading consumers with information that may be complex and poorly presented can lead to people making poor […] [...]

European Long Term Investment Funds

The FCA consultation paper CP15/27 was not solely confined to UCITS V (see above article) as the “… other changes to the Handbook affecting investment funds” includes a section (Part […] [...]

AIFMD: Annex IV Reporting Issues

Problems encountered by firms in meeting the demanding Annex IV reporting requirements (SUP 16.18) has led the FCA to issue a further set of Q&As to assist firms and which: […] [...]

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 […] [...]

Tag: AIFMD

EU Commission proposes changes to UCITS V and AIFMD safekeeping regimes.

Money Market Funds Regulations 2018

Proposed changes to the AIFM and UCITS Directives

Brexit: EC notices issued stating potential consequences relating to UCITS, MiFID and AIFMD

Illiquid Assets and Open-ended Funds

UCITS and AIFs: Transparency Requirements

AIFMD Passport: Non-EU Jurisdictions

AIFMD Passport: ESMA Advice re non-EU Jurisdictions

Brexit and its Implications

The votes have been counted and ‘Brexit’ has won the day.

Brexit – What happens if it happens?

UCITS V and Securities Financing Transactions Regulation: Changes to the Handbook

Remuneration Guidelines: UCITS V and AIFMD

AIFMD: Passport Extension Update

AIFMD: Annex IV Reporting

AIFMD Passport Extension: Second Round

Disclosure Requirements

European Long Term Investment Funds

AIFMD: Annex IV Reporting Issues

AIFMD Passport and non-EU Jurisdictions

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