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Results: 1-10 of 22

US private fund advisers likely to have another year to comply with the AIFM Directive for marketing in the UK

  • Schulte Roth & Zabel LLP
  • -
  • United Kingdom, USA
  • -
  • May 2 2013

HM Treasury, which is the legislative body responsible for implementing the Alternative Investment Fund Managers Directive (“AIFM Directive”) into

FSA conflicts of interest safeguards: immediate action to be taken by all UK-authorised hedge fund managers

  • Schulte Roth & Zabel LLP
  • -
  • United Kingdom
  • -
  • November 27 2012

The UK Financial Services Authority has recently published an important report that builds upon a series of late 2011 and early 2012 “thematic reviews” of FSA-authorised investment managers (the “Report”

New ESMA guidance on European short selling rules effective 1 November 2012

  • Schulte Roth & Zabel LLP
  • -
  • European Union
  • -
  • October 18 2012

On 10 October 2012 the European Securities and Markets Authority (“ESMA”) published guidance in the form of Questions and Answers (the “Q&A”) on the implementation of the new EU Short Selling Regulation (the “Regulation”

New European rules on short selling effective 1 November 2012

  • Schulte Roth & Zabel LLP
  • -
  • European Union
  • -
  • October 6 2012

The EU Regulation No 2362012 of the European Parliament and of the Council of 14 March 2012 on short selling and certain aspects of credit default swaps (the “Regulation”) and the subsidiary legislation made under it take effect in all 27 countries of the EU on 1 November 2012 and will replace all existing rules on short selling activities in EU countries

France, Belgium and Spain lift short selling restrictions on financial companies

  • Schulte Roth & Zabel LLP
  • -
  • Belgium, France, Spain
  • -
  • February 16 2012

The ban on short selling financial companies traded on Spanish markets will be lifted with effect from 16 February 2012

France, Spain, Italy, Belgium and Greece extend short-sale bans on financial companies

  • Schulte Roth & Zabel LLP
  • -
  • Belgium, France, Greece, Italy, Spain
  • -
  • August 25 2011

The short-selling bans on certain financial companies imposed on Aug. 12, 2011 by the securities authorities in France, Spain, Italy, Belgium and Greece1 have been extended

France, Spain, Italy, Belgium and other jurisdictions impose short sale restrictions on financial companies

  • Schulte Roth & Zabel LLP
  • -
  • Belgium, European Union, France, Greece, Italy, Spain, United Kingdom
  • -
  • August 12 2011

The European Securities and Markets Authority, an organization established by the European Union as its securities regulatory authority, said in a public statement yesterday that some authorities in the EU have decided to impose or extend existing short-selling bans or restrictions in their respective countries due to recent volatility in the European financial markets

AIFM Directive publication of final text

  • Schulte Roth & Zabel LLP
  • -
  • European Union
  • -
  • July 5 2011

The final agreed text of the Alternative Investment Fund Managers Directive ("AIFM Directive") was published in the Official Journal of the European Union on 1 July 20111

Bribery Act 2010: publication of revised guidance and confirmed implementation date

  • Schulte Roth & Zabel LLP
  • -
  • United Kingdom
  • -
  • April 11 2011

On 30 March 2011, the UK Ministry of Justice published its long-awaited final guidance (the "Guidance") on the "adequate procedures" that commercial organisations operating in or from the UK should have in place to prevent bribery by a person associated with the organisation

FinCEN, OFAC, the UN, EU and UK issue advisories, freeze orders, other measures related to Libya, Egypt and Tunisia

  • Schulte Roth & Zabel LLP
  • -
  • Global
  • -
  • March 17 2011

As a result of the recent unrest in Libya, Egypt and Tunisia, the U.S. Financial Crimes Enforcement Network ("FinCEN") has issued a series of advisories to remind financial institutions of their obligations under the USA PATRIOT Act to apply enhanced scrutiny for private bank accounts held by or on behalf of senior foreign political figures and to monitor transactions and file Suspicious Activity Reports involving transfers that may represent misappropriated or diverted state assets, proceeds of bribery or other illegal payments, or other public corruption proceeds

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