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Searching Content indexed under Securities by David Walsh ordered by Published Date Descending.
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ESMA Publishes Revised Q&A On UCITS And AIFMD
In conjunction with the work that it is carrying out on closet index-tracking funds, the European Securities and Markets Authority ("ESMA") has published a revised Q&A on UCITS ...
Ireland
29 Apr 2019
2
MiFID II: Securities And Exchange Commission Publishes "No-Action" Relief In Respect Of Research Payments To US Brokers
On October 26, 2017, following consultation with European authorities, and in response to concerns that investors could lose access to valuable research, the U.S. Securities and Exchange Commission...
Ireland
6 Nov 2017
3
The Securities Financing Transaction Regulation – Upcoming Deadline
Entities engaging in securities financing transactions and total return swaps, including UCITS management companies, UCITS investment companies and Alternative Investment Fund Managers.
Ireland
22 Nov 2016
4
The Securities Financing Transactions Regulation
The Regulation is expected to be published in the Official Journal of the EU shortly and will come into force 20 days after publication.
European Union
15 Dec 2015
5
Updated ESMA Q&A On Its Guidelines On ETFs And Other UCITS Issues
The European Securities and Markets Authority issued an updated Q&A document to give further clarity to certain aspects of its guideline document.
Ireland
1 Apr 2014
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