Investment Funds 2 - Planet Compliance

ESMA advises on OTC derivatives valuation under UCITS

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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 Investment in Transferable Securities Directive (UCITS). The Q&A provides clarification regarding the valuation of centrally cleared OTC derivatives by UCITS management companies. ESMA stated that for OTC financial derivative transactions …

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

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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) passport to non-EU Alternative Investment Fund Managers (AIFMs) and Alternative Investment Funds (AIFs) in twelve countries: Australia, Bermuda, Canada, Cayman Islands, Guernsey, Hong Kong, Japan, Jersey, Isle of Man, Singapore, …

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

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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 Directive (AIFMD) and the Directive on Undertakings for Collective Investment in Transferable Securities (UCITS Directive). ESMA first consulted on asset segregation under the AIFMD in December 2014 (Guidelines on asset …

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Italian regulators consult on UCITS V transposition

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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 published today, Consob reported that it has submitted for the public consultation of the market (deadline: 5 September 2016) the document containing the proposed amendments to the Consob issuers’ regulations and, …

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AMF introduces the concept of ‘pre-marketing’ of funds in France

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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 to make it easier to launch new funds in France. The ‘pre-marketing’ concept is being introduced, and the AMF is adapting its definition of the act of marketing units or …

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ESMA issues Technical Standards for European Long-Term Investment Funds

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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 Long-Term Investment Fund Regulation (ELTIF). The ELTIF Regulation allows investors to put money into companies and infrastructure projects for the long term and aims to increase the amount of non-bank …

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How the Blockchain will disrupt the Asset Management industry

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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 principle of Bitcoin, the virtual currency. However, it has the potential to be applied in many other circumstances of the financial sector and industry professionals seem to come up every …

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FCA consults on UCITS V Level 2 Regulation

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The FCA is consulting on proposed changes to the Client Assets sourcebook (CASS) and the Collective Investment Schemes sourcebook (COLL), following the adoption of the Undertakings for Collective Investment in Transferable Securities V Level 2 Regulation (UCITS V Level 2 Regulation). The FCA is also consulting on minor changes to SYSC and consequential amendments in COLL …

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French regulator clarifies authorisation process under UCITS V

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The French financial regulator, the Autorité des Marchés Financiers (AMF), has published instructions with regard to the UCITS 5 Directive transposition. The instructions outline the authorisation process for UCITS and AIF depositaries. The UCITS 5 Directive alters the functions of UCITS depositaries with respect to their remit and responsibilities. Thus, the AMF has created a …

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Investment Funds

ESMA advises on OTC derivatives valuation under UCITS

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

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

Italian regulators consult on UCITS V transposition

AMF introduces the concept of ‘pre-marketing’ of funds in France

ESMA issues Technical Standards for European Long-Term Investment Funds

How the Blockchain will disrupt the Asset Management industry

FCA consults on UCITS V Level 2 Regulation

French regulator clarifies authorisation process under UCITS V

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