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Financial Services Industry › Fund Managers › Disclosure Requirements

Latham & Watkins LLP

FCA Publishes Findings on Private Market Valuation Practices

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A review of fund and portfolio managers found a number of good practices, but also revealed the need for improvement in areas such as conflict management. On 5 March 2025, the FCA published the findings from its review...more

SEC Compliance Consultants, Inc. (SEC³)

Latest SEC Document Request Lists: What Private Fund Managers Should be Worrying About

SEC Compliance Consultants, Inc. (SEC³) on

Many private fund managers are breathing a sigh of relief after the Fifth Circuit struck down the Private Fund Rules (check out our blog post for more information). Do not, however, assume the SEC will stop its aggressive...more

A&O Shearman

MiCAR under the microscope - Part 5: Regulatory requirements applicable to CASPs

A&O Shearman on

The Regulation (EU) 2023/1114 on Markets in Crypto-assets (MiCAR) has further expanded the panel of regulated entities by introducing the regulatory status of crypto-asset service providers (CASPs)....more

Hogan Lovells

Sustainability, disclosure – what Australian funds, sponsors and investors should know as consultation closes

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Financial services regulators globally are identifying sustainability and Environmental, Social and Governance (ESG) issues as key areas of concern, with the aim of encouraging greater investment in longer term and...more

Foley & Lardner LLP

An Introduction to the EU Sustainable Financial Disclosure Regime and the Draft EU Corporate Sustainability Due Diligence...

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SFDR and Asset Allocators. The European Green Deal declared climate change and environmental degradation as existential threats to Europe and the world. The European Union (EU) has set out to mobilize private financial...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: December 1, 2022

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The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges....more

Akin Gump Strauss Hauer & Feld LLP

[Podcast] SFDR for Beginners

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In this episode, the first in our three-part EU ESG Considerations for Beginners miniseries, Akin Gump financial regulatory partner Ezra Zahabi looks at the Sustainable Finance Disclosure Regulation (SFDR) and what it means...more

Latham & Watkins LLP

FCA Seeks to Improve Quality of ESG Fund Disclosures

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FCA has published guiding principles on the design, delivery, and disclosure of ESG and sustainable investment funds. On 19 July 2021, the FCA published a letter sent to chairs of authorised fund managers, which sets out...more

McDermott Will & Emery

[Webinar] 100 Tage Offenlegung: Erste Erfahrungen, Praxistipps Und Ausblick Auf Die ESG-regulierung Im (Immobilien-)Fondsbereich -...

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Wir setzen unsere erfolgreiche Online-Seminarreihe fort und widmen uns erneut dem wichtigen Thema ESG. Am 10.06.21 ist die Offenlegungsverordnung seit drei Monaten in Kraft. Das (teilweise) Inkrafttreten der...more

McDermott Will & Emery

[Webinar] 100 Days Of Disclosure – First Experiences, Practical Tips And An Outlook On ESG Regulation In The (Real Estate) Fund...

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We are continuing our successful online seminar series and are once again devoting ourselves to the important topic of ESG. On June 10th, the Disclosure Ordinance has been in force for three months. The (partial) entry into...more

Goodwin

Sustainable Finance In Luxembourg — What Managers Should Do Now

Goodwin on

Regulation (EU) 2019/2088 of 27 November, 2019 on sustainability-related disclosures in the financial services sector, as amended by Regulation (EU) of 18 June, 2020 on the establishment of a framework to facilitate...more

McDermott Will & Emery

ESG-Offenlegung für Fonds wird konkreter – und komplizierter!

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Die EU treibt die Umsetzung der Offenlegungs-Verordnung voran und hat konkrete Entwürfe für die Anlegerdokumente von ESG-Fonds vorgelegt. Um vergleichbare Informationen für alle betroffenen Produkte zu gewährleisten, sind die...more

Dechert LLP

Disclosure Regulation1 – What is It and Who is Impacted?

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Signed by the European Parliament and the Council of the European Union on 27 November 2019 and published in the Official Journal of the European Union on 9 December 2019, the regulation on sustainability-related disclosures...more

Dechert LLP

Financial Services Quarterly Report - Fourth Quarter 2018: U.S. SEC Focus Areas in the Registered Funds Industry

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In November of last year, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued an alert announcing a series of risk-based examinations focused on mutual funds and exchange-traded...more

Dechert LLP

Financial Services Quarterly Report - First Quarter 2016: Lessons for PE Managers from the SEC’s Ongoing Scrutiny of Private...

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A large number of private equity managers were required to register for the first time with the U.S. Securities and Exchange Commission (SEC) pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act (Act)....more

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