Searching Content indexed under Fund Management/ REITs by Barnabas Reynolds ordered by Published Date Descending.
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The UK's Expanded Senior Managers And Certification Regime: Key Issues And Action Plan For Brokers, Advisers And Asset Managers
The expanded Senior Managers and Certification Regime (SM&CR), which comes into force on December 9, 2019, extends the framework regulating individuals charged
United States
16 Jul 2019
EMIR Refit: Impact Of The Reclassification Of Funds
The EU proposals to amend technical aspects of the European Market Infrastructure Regulation (EMIR), known colloquially as ‘EMIR 2.1' or ‘EMIR Refit', have been politically agreed.
European Union
15 Apr 2019
Annex: Forthcoming And Recent Legal And Regulatory Obligations Arising From EU Membership
Any planning must take into account how relevant forthcoming legal and regulatory changes are likely to affect the firm.
European Union
19 Mar 2018
MiFID II, Research And Extraterritoriality: The SEC, European Commission And FCA Solution
On October 26, 2017, the US Securities and Exchange Commission, European Commission and the UK Financial Conduct Authority released, in a coordinated manner, a series of significant orders ...
European Union
17 Nov 2017
MiFID II For Non-EU Investment Banks And Brokers
The revised EU Markets in Financial Instruments package—known as MiFID II—takes effect on January 3, 2018. Some aspects of this legislation are extra-territorial.
22 Sep 2017
MiFID II For Non-EU Fund Managers
The revised EU Markets in Financial Instruments package—known as MiFID II—takes effect on January 3, 2018.
United States
29 Jun 2017
Brexit: Continuity Of Current Arrangements For Banks And Investment Banks
The article discusses the position for banks and investment banks under MiFID II once the UK has exited the EU.
European Union
4 Jul 2016
MiFID II: Access To EU Markets For Third Country Investment Firms
This note discusses the MiFID II regime for access by financial institutions located outside the EU to EU customers and markets.
United States
16 May 2016
Update On Third Country Equivalence Under EMIR
The European Commission has adopted "equivalence" decisions on the derivatives regulatory regimes for central counterparties in Canada, Mexico, the Republic of Korea, South Africa and Switzerland.
European Union
25 Nov 2015
UK Regulatory Proposals On Removing Impediments To Resolvability
The Bank of England, the UK authority with powers to "resolve" failing banks, is consulting on how it might exercise its power of direction to remove impediments to resolvability.
6 Jul 2015
Bank Recovery And Resolution Directive – Implications For Repo And Derivative Counterparties
The Bank Recovery and Resolution Directive (BRRD)1introduces an EU-wide regime for recovery and resolution planning for, and for resolution action to be taken...
United States
14 May 2015
Capital Markets Union: The EU’s Next Focus For Reforms
The proposals are part of an initiative to develop a more integrated single market for raising capital across the EU.
European Union
14 Apr 2015
MiFID II: Commodity Derivatives And Emissions
MiFID II is the latest piece in a package of European and global reforms impacting commodity derivatives and emissions traders.
European Union
21 Oct 2014
Scotland: The Succession Event Question
In this note we analyse some of the consequences for sovereign CDS resulting from a vote for Scottish independence.
23 Sep 2014
FinCEN Proposes New Rule Requiring Identification Of Beneficial Owners
The rule would mandate that financial institutions require their legal entity customers to identify natural persons meeting certain ownership thresholds.
United States
17 Sep 2014
Financial Regulatory Developments Focus - 11 Mar 2014
In this newsletter, we provide a snapshot of the principal European, US and global financial regulatory developments of interest.
United States
18 Mar 2014
The Final Volcker Rule Begins To Emerge
We issued a client memorandum on December 9 listing the major topics to look for when the five financial regulatory agencies agreed to finalize the Volcker Rule, which generally prohibits banking organizations from engaging in proprietary trading and investing in or sponsoring private investment funds, subject to a host of exceptions and details.
United States
19 Dec 2013
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