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Stress on individual accountability and firms’ collective responsibility to avoid recurrence of “ethical drift”.
UCITS should look at counterparty risk in respect of the clearing members they use.
Opportunities for European and US asset managers, depositaries and custodians.
Reporting and the calculation of leverage are among new Q&As in the European Securities and Markets Authority’s paper.
The new tax-free allowance for interest distributions will change the savings landscape, and other developments.
Aspects of MiFID II of particular interest to asset managers including: commissionss; phone call recordings; costs disclosure; client categorisation; and more.
Certain sums that arise to investment fund managers for their services will be charged to income tax.
UCITS V regulates the remuneration policy of UCITS management companies.
The FCA has now completed its thematic review of asset management firms and the risk of market abuse (TR 15/1), which it announced in its 2014/15 business plan.
On 30 January 2015, the Europen Commission republished a draft RTS on the own funds requirements for firms based on fixed overheads. How will this affect asset managers?
Draft legislation raises concerns that many normal carried interest and co-investment structures could be within the scope of new income tax rules.
The FCA has issued an urgent reminder on ensuring AIFMD Annex IV transparency reports are completed correctly in GABRIEL (GAthering Better Regulatory Information ELectronically).
Eversheds’ payments processing experts set the key findings in this report and what they mean for UK firms.
Amendments to the recently passed draft PPP law have been approved by Jordan’s Lower House Investment Committee.
The European Commission has published a draft regulatory technical standard on own-funds requirements for firms based on fixed overheads under article 97 of the CRR.
On 6 August, the Union Cabinet of India approved 100 per cent foreign direct investment in railway infrastructure.
UK: ESMA paper on calculation of counterparty risk by UCITSs for OTC transactions subject to clearing obligations
On 22 July 2014, ESMA issued a discussion paper on counterparty risk calculation methods for UCITSs subject to central clearing.
On 31 July 2014, the Council of the European Union adopted Regulation (EU) No 833/2014, which implements Council Decision 2014/512/CFSP of 31 July 2014.
The government has launched a consultation on stamp duty land tax rules for property authorised investment funds and co-ownership authorised contractual schemes.
With many legal and regulatory developments still to come in 2014, it is important for financial institutions to consider and understand these changes.