News & Analysis as of September 18, 2024

Risk Management

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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 -

ECB Mandates Board Expertise in Addressing ICT and Security Risks

Skadden, Arps, Slate, Meagher & Flom LLP on 7/17/2024

Earlier this year, a dedicated policy prepared by the European Central Bank (ECB) came into effect requiring bank management bodies to broaden their collective understanding of and proficiency in identifying and dealing with...more

Regulatory monitoring: EU version Newsletter - March 2024

A&O Shearman on 4/2/2024

1. Bank regulation- 1.1 Prudential regulation- (a) General- (i) International- BCBA: Basel III monitoring report- Status: Final- BCBS has published its latest monitoring report setting out the impact of the Basel III...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

Regulatory monitoring: EU version - December 2023

A&O Shearman on 1/10/2024

1. Bank regulation - 1.1 Prudential regulation - (a) General - (i) EU - EBA: Roadmap on strengthening the Prudential framework - Status: Final - The EBA has published its roadmap on the Banking Package, which...more

DORA – Key Considerations for Alternative Investment Funds

Skadden, Arps, Slate, Meagher & Flom LLP on 11/3/2023

The EU Digital Operational Resilience Act (Regulation (EU) 2022/2554) (DORA) creates a regulatory framework intended to enhance the operational resilience of the financial sector by establishing uniform requirements for the...more

Regulatory monitoring: EU Version - August 2023

A&O Shearman on 9/5/2023

Our monthly regulatory newsletter monitors all relevant developments regarding European regulatory law in English language. Furthermore, we produce detailed briefings to cover key developments in the field of financial...more

New Developments on the VAT Exemption for Fund Management Services

Goodwin on 7/30/2021

On 17 June 2021, the Court of Justice of the European Union (CJEU) rendered two decisions about the application of the VAT exemption for management services provided in article 135 (1) (g) of the EU VAT Directive and...more

The Central Bank’s CP86 Day of Reckoning – What You Need To Know

Dechert LLP on 10/28/2020

For many in the Funds Industry, the issue on 20 October 2020 of the Central Bank of Ireland’s (the “Central Bank”) Industry Letter (the “Industry Letter”) relating to the Central Bank’s Thematic Review of Fund Management...more

Financial Services Quarterly Report -Third Quarter 2019: GP-Led Secondary Transactions: Mitigating Risk of Regulatory Scrutiny of...

Dechert LLP on 10/22/2019

The secondary market has experienced rapid growth over the past decade, and that growth has been particularly fast in the last five years. The most striking feature of this growth is the general partner (GP)-led secondary...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on 12/4/2018

Publication by the FSMA of the 2017 statistics regarding pension funds - The Financial Services and Markets Authority (“FSMA”) published the statistical data on 21 September 2018 on the sector relating to institutions...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on 11/14/2018

FCA Consults on Rules for Post-Brexit Temporary Permissions Regime for Incoming EEA Firms and Funds - The UK government is proposing to implement a “temporary permissions regime” to cover “inbound” European Economic Area...more

Investment Funds Update Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on 2/26/2018

AMF Study on Fees Charged in 2015 by UCITS Distributed in France - The Autorité des Marchés Financiers (the French financial regulator, AMF) conducted a study based on the fees disclosed in the KIID distributed to...more

Investment Funds Update Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on 1/30/2018

New edition of UCITS and AIFMD Q&As published by the Central Bank - The Central Bank recently published the 28th edition of AIFMD Q&A on the 2 January 2018. A number of new questions have been answered regarding the PRIIPS...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on 4/10/2017

Significant Update of the General Regulations of the AMF ("GRAMF") - The Arrêté of 27 February 2017 and published to the Official Journal on 7 March 2017 has amended significantly the General Regulations of the AMF (the...more

Investment Funds Update: Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on 2/23/2017

BaFin Publishes KAMaRisk - BaFin published the “Minimum Requirements on Risk Management for Investment Management Companies (Mindestanforderungen an das Risikomanagement für Kapitalverwaltungsgesellschaften -...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on 11/29/2016

German Investment Fund Association Extends Rules of Conduct - The general meeting of the German Investment Fund Association BVI (Deutscher Fondsverband) agreed to revised rules of conduct for the fund industry which will...more

Financial Services Quarterly Report - Second Quarter 2016: New Legal Framework Regarding Loan Funds in Germany

Dechert LLP on 7/12/2016

BaFin, the German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht) last year eased its administrative practice with respect to loan origination and loan restructuring activities of...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on 7/12/2016

Updated CSSF AIFM FAQ - The Commission de Surveillance du Secteur Financier (CSSF) issued an updated version (number 10) of the Frequently Asked Questions in relation to the law of 12 July 2013 on Alternative Investment...more

Bridging the Week - July 2015 #2

Katten Muchin Rosenman LLP on 7/14/2015

Alleged Fictitious Sales to Facilitate Improper Money Pass Prompts CFTC Injunctive Action and Asset Freeze: The Commodity Futures Trading Commission filed a lawsuit in a federal court in Illinois against Yumin Li and Kering...more

Financial Services Quarterly Report - Second Quarter 2015: Incentive-Based Compensation: Dodd-Frank and the Example of Europe

Dechert LLP on 7/8/2015

After a four-year hiatus, some of the more controversial elements of the executive compensation rules mandated by the U.S. Dodd-Frank Act are back on the table. This article explores these elements – principally in the...more

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