News & Analysis as of October 19, 2024

Investment Funds

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The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -

The New UK Listing Rules - The Most Significant Change to the UK’s Listing Regime in 40 Years

Akin Gump Strauss Hauer & Feld LLP on 7/30/2024

The new reforms to the UK listing regime (Listing Rules) published by the Financial Conduct Authority (FCA) came into force on Monday 29 July 2024, marking the most significant change to the UK’s listing regime in 40 years as...more

Regulation Round Up - March 2024

Proskauer Rose LLP on 4/10/2024

Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more

AIFMD II: Unveiling the timeline for the new loan origination regime

A&O Shearman on 3/29/2024

The text of the Directive amending the Alternative Investment Fund Managers Directive (AIFMD) (AIFMD II) was published on 26 March 2024 and will enter into force on 15 April 2024. AIFMD II introduces, among other changes,...more

Regulatory monitoring Newsletter - February 2024

A&O Shearman on 3/4/2024

1. Bank regulation - 1.1 Prudential regulation - (a) General - (i) EU - ECB: Memorandum of Cooperation between ECB and CAs on third-country bank supervision - Status: Final - The ECB has published a Memorandum of...more

All Washed Up - What Are the Risks for Firms That Won’t Show Greenwashing the Red Card?

BCLP on 2/13/2024

In recent years, there has been a noticeable increase in green products and the promotion of sustainable objectives across the financial services industry. For example, we have seen much discussion of green loans, green...more

European Commission Consults on Changes to the SFDR Regime

Skadden, Arps, Slate, Meagher & Flom LLP on 10/18/2023

The European Commission recently launched two consultations — a public consultation and a targeted consultation (collectively, the Consultations) — seeking stakeholders’ feedback on potential changes to the Sustainable...more

Irish Quarterly Legal and Regulatory Report - Asset Management and Investment Funds July - September 2023

Walkers on 10/18/2023

Welcome to the July – September 2023 issue of our Irish Quarterly Legal and Regulatory Developments report for asset management and investment funds. This report covers key dates and developments during the quarter, such...more

Names and Claims – ESMA probes use of generic ESG terms in EU funds

Walkers on 10/4/2023

Yesterday, ESMA published a risk analysis report outlining the results of its disclosure study on ESG names and claims in the EU funds industry. ESMA utilised natural language processing ("NLP") techniques to analyse the...more

Horizon Scan for Private Investment Funds: Key Recent and Expected Funds, Regulatory, and Tax Developments to Look Out For

Goodwin on 10/3/2023

Welcome to the third edition of our Horizon Scan, where we focus on some of the principal recent and expected developments and changes that we expect to be of interest to those in the private funds and investment management...more

FCA Contemplates Revising Asset Management Regulatory Framework

Akin Gump Strauss Hauer & Feld LLP on 2/27/2023

The UK Financial Conduct Authority (FCA) is seeking industry feedback in a discussion paper (DP)1 on potential regulatory reform of the asset management sector. If enacted, the UK Government’s Future Regulatory Framework...more

Horizon Scan for Private Investment Funds: Key Recent and Expected Funds, Regulatory and Tax Developments to Look Out For

Goodwin on 1/19/2023

Welcome to our January 2023 Horizon Scan, where we focus on some of the principal recent and expected developments and changes that we expect to be of interest to those in the non-listed funds sector. We have grouped the...more

Regulation Round Up - April 2022

Proskauer Rose LLP on 5/6/2022

Key developments in April 2022: 29 April - The Financial Stability Board (“FSB”) published for consultation an interim report that recommends measures to assist supervisory and regulatory authorities in developing...more

Regulation Round Up - February 2022

Proskauer Rose LLP on 3/4/2022

Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. 28 February - The Financial Conduct Authority (“FCA”) published Handbook Notice...more

Funds First Autumn legal and regulatory update for real estate funds

BCLP on 9/27/2021

At our recent Funds First webinar we shared some technical and market issues and updates on a selection of key developments of impact for real estate funds. Our discussion covered the Long Term Asset Fund (LTAF) , the...more

FCA Consults on Post-Brexit Changes to PRIIPS Regulation

Latham & Watkins LLP on 7/22/2021

UK rules will diverge from the much-criticised EU framework. On 20 July 2021, the FCA published a Consultation Paper (CP21/23) on amending the UK PRIIPs Regulation. The FCA has long held concerns about the PRIIPs...more

UK Proposes New Climate-related Disclosure Rules for Asset Managers

Akin Gump Strauss Hauer & Feld LLP on 7/8/2021

The proposed disclosure rules applicable to UK investment managers have been published for comment by the UK’s Financial Conduct Authority (FCA). The rules focus on enhancing transparency on climate-related risks and align...more

Funds and asset management regulatory news, January 2021

Hogan Lovells on 1/18/2021

TMPR: FCA update on adding new sub-fund to umbrella scheme - The UK Financial Conduct Authority (FCA) has updated its webpage on adding a new sub-fund to an umbrella scheme in the temporary marketing permissions regime (TMPR)...more

The End of the Brexit Transition Period: Compliance Requirements for UK Investment Managers and Advisers

Akin Gump Strauss Hauer & Feld LLP on 1/6/2021

On 24 December 2020, the government of the United Kingdom (UK) and the European Union (EU) reached a Trade and Cooperation Agreement (the “Agreement”) in advance of the end of the Brexit transition period (11:00 p.m. GMT on...more

Funds and asset management regulatory news, October 2020 # 3

Hogan Lovells on 10/20/2020

ESMA guidelines on liquidity stress testing in UCITS and AIFs: FCA comment - Among other things covered in its latest Regulation round-up, the UK Financial Conduct Authority (FCA) comments on the European Securities and...more

EU Authority Allows Further Short Delay to Annual Transparency Calculations for Non-Equities

A&O Shearman on 10/2/2020

The European Securities and Markets Authority has announced the delay of the publication dates by investment firms and trading venues of the annual transparency calculations for non-equity instruments (other than bonds) from...more

Funds and asset management regulatory news, July 2020 #3

Hogan Lovells on 7/21/2020

Role of investment managers in post-COVID-19 recovery: FCA speech - The UK Financial Conduct Authority (FCA) has published a speech by Christopher Woolard, FCA Interim Chief Executive, on the role of investment managers in...more

In Principle: 10 Things Authorised Firms Need to Know for 2020

Akin Gump Strauss Hauer & Feld LLP on 1/30/2020

Welcome to the 2020 edition of In Principle. With the United Kingdom (UK) leaving the European Union (EU) on31 January 2020, and moving into a transition period which will last until 31 December 2020, Brexit of courselooms...more

Financial Regulatory Observer - December 2019: ESG investing: The sharpening teeth of disclosure

White & Case LLP on 12/23/2019

How to stay ahead of the curve, minimize future costs of compliance and feed the growing demand from investors for responsible products and services - Environmental, social and governance (ESG) investing is accelerating...more

Key Emerging Regulatory Issues and Focus Areas for Institutional Asset Managers

Latham & Watkins LLP on 9/19/2019

This publication maps out key current areas of legal or regulatory change that are of specific relevance for institutional asset managers. These focus areas are arranged thematically, by those that affect managers or...more

Central Bank of Ireland’s Thematic Review on Closet Indexing: A Shot Across the Bows for UCITS Boards?

Dechert LLP on 8/19/2019

The Central Bank of Ireland (the “Central Bank”) on 18 July 2019 published a ‘Dear Chair’ letter to the industry (the “Industry Letter”) highlighting the key supervisory issues identified in a thematic review of Irish...more

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