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Searching Content indexed under Fund Management/ REITs by Harvey Knight ordered by Published Date Descending.
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Comunicazione Banca d'Italia 25 Marzo 2015 In Materia Di Adempimenti Per Le SGR
Alleghiamo la comunicazione emanata da Banca d'Italia in data 25 marzo 2015 in materia di adempimenti per le SGR conseguenti alle disposizione attuative della Direttiva AIFM.
Italy
2 Apr 2015
2
Segregazione Degli Asset Dei Fondi Di İnvestimento
Un ruolo fondamentale nell'architettura della segregazione degli asset è ricoperto dalle banche depositarie e dagli altri soggetti autorizzati alla custodia degli asset degli AIF.
Italy
8 Dec 2014
3
New Funds Supervision Team
In a speech given by William Amos, director of wholesale banking and investment management, the FCA has announced, that it is creating a fund authorisation and supervision team.
UK
5 Nov 2014
4
FCA On Restriction Of Retail Distribution Of CoCos And Mutual Funds
The FCA is proposing to put in place new requirements which would apply when mutual society shares are sold to ordinary retail investors.
UK
5 Nov 2014
5
FCA MiFID II Conference Summary
On 18 September, the Financial Conduct Authority held a conference which addressed the agenda for Markets in Financial Instruments Directive (MiFID) II.
UK
25 Sep 2014
6
SEC Risk Alert: Adequacy Of Due Diligence Of Investment Advisers Recommending Alternative Investments And Their Managers
The U.S. Securities and Exchange Commission (SEC) issued a risk alert on January 28, 2014, highlighting key observations from examinations of due diligence processes that investment advisers use to select alternative investments and their managers.
United States
13 Feb 2014
7
FCA Bans Former BGC Senior Executive Due To The High Court’s Concerns Over His Fitness And Propriety
The FCA has published a final notice prohibiting inter-dealer broker Anthony Verrier, a former senior executive at BGC Brokers LP from performing any function relating to any regulated activity because it considers that he is not a fit and proper person due to concerns over his integrity.
UK
10 Feb 2014
8
HM Treasury Update On AIFMD Transitional Arrangements
Following concerns raised by stakeholders in relation to the FCA’s proposed deadline of 22 January 2014, HM Treasury is intending to amend the Alternative Investment Fund Managers Regulations 2013.
UK
16 Jan 2014
9
The European Proposals For Next Year's Bonus Round
The European Banking Authority (EBA) approved the draft regulatory technical standard (RTS) on the definition of material risk takers (MRTs) which will apply to all firms under the scope of the CRD IV.
UK
16 Jan 2014
10
FCA Statement On Descriptions Of "Absolute Return" And The Like
The FCA has published a webpage on the implementation of COLL 4.2.5R(3)(ca).
UK
16 Jan 2014
11
SEC And FINRA Examination Priorities For 2014
Each year, the U.S Securities and Exchange Commission and the Financial Industry Regulatory Authority release priorities for the SEC’s examinations of investment advisers and investment companies and FINRA’s examinations of broker-dealers.
UK
16 Jan 2014
12
AIFMD: FCA On The Use Of Proportionality In Applying Article 15(1) On Risk Management
The FCA has updated its webpage on the AIFMD to clarify how alternative investment fund managers (AIFMs) can comply in a proportionate way, with the AIFMD's Article 15 requirement, for hierarchical and functional segregation of a firm's risk management function.
UK
6 Dec 2013
13
The Alternative Investment Fund Managers Directive Level 2 Measures Published – Six Months To Go!
The Alternative Investment Fund Managers Directive ("AIFMD") establishes a common set of EU-wide rules on any European alternative investment fund manager ("AIFM") which manages one or more alternative investment funds ("AlFs").
UK
24 Feb 2013
14
The Dodd-Frank Wall Street Reform and Consumer Protection Act-New Challenges for Fund Managers and Investment Advisers
President Obama signed the Wall Street Reform and Consumer Protection Act into law. The Act will have a significant impact on domestic and non-US fund managers and investment advisers.
United States
3 Aug 2010
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