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ESMA publishes consultation on disclosure obligations for Money Market Funds

The European Securities and Markets Authority (ESMA) today has published a consultation on disclosure obligations for Money Market Funds. The consultation is necessary since European...

In a nutshell: Best Execution under MiFID II/MiFIR

Some considered 3 January 2018 to be the end of banking as we know it, doomsday, Armageddon. For several years the tension and anticipation had...

What the heck is WealthTech?

The FinTech revolution has changed the face of Finance. It has also brought us a number of other tech-based buzzwords. While it can be a...

Compliance fundamentals for Hedge Funds

Playing by the rules no longer is an option for hedge fund industry and is important to understand the compliance fundamentals for Hedge Funds to...

IOSCO issues recommendations and good practices to improve liquidity risk management for investment funds

The Board of the International Organization of Securities Commissions (IOSCO) has issued today final recommendations that seek to improve liquidity risk management practices of open-ended...

The Rise of the Family Offices – Finance for Compliance Professionals

The rise of Family Offices is remarkable. While known to only a handful, they have gained more and more visibility in recent years. But why...

Mastering Private Equity – A conversation with Claudia Zeisberger

Private Equity (“PE”) is experiencing exceptional times with enormous growth. Capital committed to traditional funds, co-investments, separate accounts and directs are at an all-time high,...

All you need to know about Cryptocurrency Hedge Funds – how they work, how to get in & the regulatory angle

The beauty of hedge funds is that they can invest practically in everything. Hardly anything is off-limits from traditional asset classes like equity, fixed income,...

The devil is in the detail – what the ESMA MiFID II Suitability Consultation means for Robo-Advisors

Recently the European Securities and Markets Authority (ESMA) has published another MiFID II consultation paper, this time on draft guidelines on certain aspects of the...

ESMA publishes opinion on asset segregation and applying depositary delegation rules to CSDs

The European Securities and Markets Authority (ESMA) has published an opinion to the European Commission, the Council and the Parliament (EU institutions) under Article 34...

ESMA publishes updated AIFMD and UCITS Q&A

The European Securities and Markets Authority (ESMA) has published updated questions and answers documents (Q&A) on the application of the Alternative Investment Fund Managers Directive...

Hedge Fund Compliance: Risks, Regulation, and Management – An interview with Jason A. Scharfman

Hedge Funds have long been perceived as practically standing outside financial services regulation but these days seem to be all but a distant memory. In...

ESMA publishes updated AIFMD and UCITS Q&As

The European Securities and Markets Authority (ESMA) has published updated questions and answers documents (Q&A) on the application of the Alternative Investment Fund Managers Directive...

French regulator provides clarification on the French market in ETFs

The French financial regulator, AMF, has today provided a clarification on the French market in exchange-traded funds. In recent years, the market in exchange-traded funds...

European Regulators consult on PRIIPs with environmental or social objectives

The European Supervisory Authorities (ESAs) launched today a consultation on a proposal to set minimum requirements, which manufacturers of packaged retail and insurance-based investment products...

ESMA advocates common principles for setting up share classes in UCITS funds

The European Securities and Markets Authority (ESMA) has today issued an Opinion on the extent to which different types of units or shares (share classes)...

Former portfolio manager sentenced to 12 months imprisonment for insider dealing

In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment Management (UK) Limited, has today...

ESMA clarifies UCITS investment limits

The European Securities and Markets Authority (ESMA) has published an updated questions and answers document on the application of the Undertakings for the Collective Investment...

ESMA clarifies delegation of functions and other aspects under AIFMD

The European Securities and Markets Authority (ESMA) has published an updated questions and answers document (Q&A) on the application of the Alternative Investment Fund Managers...

FinTech Innovation – An interview with Paolo Sironi

Bestselling FinTech author, Global Industry Strategist, Experienced Quant and Risk Manager, International Keynote Speaker, FinTech Entrepreneur and Thought Leader: Paolo Sironi is a true FinTech...

Commission invites European Supervisory Authorities to amend PRIIPs rules and develop guidance

The European Supervisory Authorities (ESAs) - the European Banking Authority (EBA), European Securities and Markets Authority (ESMA) and European Insurance and Occupational Pensions Authority (EIOPA)...

Commission extends the application date of the PRIIPs Regulation by one year

The Commission has today proposed an extension to the date of application of the Regulation on Key Information Documents for Packaged Retail and Insurance-based Investment...

IOSCO reports on implementation of G20/FSB recommendations to strengthen securities markets

The Board of the International Organization of Securities Commissions (IOSCO) today published a report on the implementation of the G20/FSB post crisis recommendations aimed at...

ESMA clarifies investment recommendations under Market Abuse Regulation

The European Securities and Markets Authority (ESMA) has today provided an updated to its MAR Q&A that clarifies, which communications should be considered investment recommendation...

ESMA issues Guidelines on Remuneration Practices under UCITS and AIFMD

The European Securities and Markets Authority (ESMA) has published today two sets of Guidelines: Guidelines on Sound Remuneration under UCITS (UCITS Remuneration Guidelines) and Guidelines...

ESMA publishes updated UCITS Q&A

The European Securities and Markets Authority (ESMA) has published an updated questions and answers (Q&A) document on the application of the Undertakings for the Collective...

Cayman and Panama – Hats, Havens and OFCs

Cayman and Panama – Hats, Havens and OFCs What is the difference between an international financial centre (IFC) and an offshore financial centre (OFC)? “What’s...

IOSCO guidance seeks to enhance market efficiency for Collective Investment Schemes

The Board of the International Organization of Securities Commission today published the final report on Good Practice for Fees and Expenses of Collective Investment Schemes...

International regulator seeks to increase investor protection in case of investment fund termination

IOSCO consults on good practices for the termination of investment funds in an effort to increase investor protection The Board of the International Organization of Securities Commissions (IOSCO)...

ESMA advises on OTC derivatives valuation under UCITS

The European Securities and Markets Authority (ESMA) has published an updated questions and answers document (Q&A) on the application of the Undertakings for the Collective...

ESMA advises on OTC derivatives valuation under AIFMD

The European Securities and Markets Authority (ESMA) has published an updated questions and answers document (Q&A) on the application of the Alternative Investment Fund Managers...

ESMA advises on extension of funds passport to 12 non-EU countries

The European Securities and Markets Authority (ESMA) has today published its Advice in relation to the application of the Alternative Investment Fund Managers Directive (AIFMD)...

ESMA consults on asset segregation and custody services under AIFMD and UCITS

The European Securities and Markets Authority (ESMA) has published a Call for Evidence on Asset Segregation and Custody Services under the Alternative Investment Fund Managers...

Commission proposes new rules to support investment in venture capital and social enterprises

The European Commission has today proposed amendments to the European Venture Capital Funds (EuVECA) and the European Social Entrepreneurship Funds (EuSEF) regulations, marking another step...

Italian regulators consult on UCITS V transposition

The Italian financial regulators, Consob and Banca D'Italia, consult on the transposition of the UCITS V directive with regard to amendments to the regulations. In a statement...

AMF introduces the concept of ‘premarketing’ of funds in France

As part of ongoing FROG work to improve the distribution of French investment funds abroad, the Autorité des Marchés Financiers (AMF) is adjusting its policy...

European Supervisory Authorities plan to issue Q&As on PRIIPS

The Joint Committee of the three European Supervisory Authorities (ESAs) – EBA, EIOPA and ESMA – has published today a letter to the European Parliament...

FSB consults on Structural Vulnerabilities from Asset Management Activities

The Financial Stability Board (FSB) today published for public consultation Proposed Policy Recommendations to Address Structural Vulnerabilities from Asset Management Activities. The document sets out 14...

IOSCO Outlines its Prior ities Regarding Data Gaps in the Asset Management Industry

The Board of the International Organization of Securities Commissions (IOSCO) today has issued a public statement outlining its priorities regarding data gaps in the asset...

ESMA issues Technical Standards for European Long-Term Investment Funds

The European Securities and Markets Authority (ESMA) has today published its Final Report and draft Regulatory Technical Standards (RTS) for Regulation (EU) 2015/760, the European...

ESMA publishes updated EuSEF and EuVECA Q&A

The European Securities and Markets Authority (ESMA) has published an updated questions and answers document (Q&A) on the application of the European Social Entrepreneurship Funds...

How the Blockchain will disrupt the Asset Management industry

Sometimes it feels like blockchain is all the talk in the financial services industry. Blockchain or distributed ledger technology is mostly known as the underlying...