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Searching Content indexed under Finance and Banking by John Young ordered by Published Date Descending.
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Title
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Author
Date
1
Changing Status Of EU Local Authorities Under MiFID II
From January next year, MiFID II will exclude "public sector bodies, municipalities and local public authorities" from the list of per se professional clients.
European Union
9 Nov 2017
2
New Disclosure Requirements Applying To EU Fund Distribution In 2018
Asset managers located inside and outside the EU must comply with the new "point of sale" disclosure requirements that will apply when they distribute financial products, and investment services...
European Union
22 Sep 2017
3
FCA Publishes Final Policy Statement On MiFID II Implementation
The statement includes some significant policy decisions by the FCA, affecting the impact of MiFID II on UK asset managers.
UK
5 Jul 2017
4
FCA Publishes Final Report On Competition In UK Asset Management
The FCA's study focussed on the market for retail investors that invest through funds and segregated mandates.
UK
3 Jul 2017
5
ESMA Issues Common Principles For UCITS Share Classes
ESMA published on 30 January 2017 an opinion on the use by EU UCITS funds of share classes, outlining four key principles that all UCITS funds must follow when setting up different share classes, and considering whether certain existing share class hedging techniques comply with such principles.
European Union
2 Feb 2017
6
UK FCA To Extend AIFMD Annex IV Reporting To Master Funds
As a result, non-EEA managers of master-feeder structures often do not need to satisfy Annex IV reporting in respect of the master fund.
UK
2 Feb 2017
7
Delay To The Application Date Of The EU Regulation On Packaged Retail And Insurance-Based Investment Products
The European Commission announced on 9 November 2016 an extension to the application date of the Regulation on Key Information Documents for Packaged Retail and Insurance-based Investment Products to 31 December 2017.
European Union
11 Nov 2016
8
Market Abuse Regulation: Implications For Issuers Of Debt Securities
The Market Abuse Regulation will take effect on 3 July 2016. MAR contains rules on insider dealing, unlawful disclosure of inside information and market manipulation that will apply in the European Economic Area.
United States
1 Jul 2016
9
Market Abuse Regulation
The Market Abuse Regulation will take effect on 3 July 2016. MAR contains the rules on insider dealing, unlawful disclosure of inside information and market manipulation that will apply throughout the EEA.
European Union
16 Jun 2016
10
CRD IV And UCITS V Remuneration Rules – Their Impact On Asset Managers
CRD IV and UCITS V are the latest iterations of the Directives governing EU credit institutions and investment firms and UCITS funds and management companies.
European Union
4 Dec 2015
11
UK Treasury Releases Consultation Paper Under MiFID II
The consultation paper covers aspects of MiFID II for which new legislation, as opposed to FCA rules, is required.
UK
1 Apr 2015
12
FCA Releases Discussion Paper Under MiFID II
The revised Markets in Financial Instruments Directive ("MiFID II") came into force on 2 July 2014.
United States
27 Mar 2015
13
EMIR – European Commission Responds To Draft RTS On IRS Clearing
The European Commission has publicised its decision to endorse draft regulatory technical standards submitted to it by the European Securities and Markets Authority.
European Union
14 Jan 2015
14
ESMA Releases Level 2 Regulations Under MiFID II
The European Securities and Markets Authority ("ESMA") published today an important new set of rules under the revised Markets in Financial Instruments Directive ("MiFID II"). MiFID II came into force on 2 July 2014.
European Union
19 Dec 2014
15
Regulatory Reporting Under AIFMD – An Update And Comparison To SEC's Form PF
The AIFMD introduces new regulatory reporting requirements for alternative investment fund managers established in the EEA and non-EEA AIFMs that market their fund in an EEA state.
European Union
30 Oct 2014
16
ESMA Plans Phased-In Approach To EMIR OTC Derivatives Clearing
EMIR requires counterparties to clear over-the-counter derivative transactions if the transaction is in a class of trades subject to the clearing obligation.
European Union
2 Oct 2014
17
Regulators Re-Propose Minimum Margin Requirements For Uncleared Swaps
The proposed rules issued by the Regulators are substantially similar to each other and to comparable requirements that have been proposed in the European Union.
United States
29 Sep 2014
18
EMIR Reporting – Further Reporting Obligations Apply In August 2014
This article provides an overview of the additional reporting obligations soon to be in effect under the European Market Infrastructure Regulation.
European Union
29 Jul 2014
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