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US private fund advisers likely to have another year to comply with the AIFM Directive for marketing in the UK
- Schulte Roth & Zabel LLP
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- United Kingdom, USA
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- 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
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- United Kingdom
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- 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”
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
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- 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
New ESMA guidance on European short selling rules effective 1 November 2012
- Schulte Roth & Zabel LLP
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- European Union
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- 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 FSA policy on prime brokerage client assets
- Schulte Roth & Zabel LLP
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- USA
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- November 9 2010
The UK's regulator, the Financial Services Authority ("FSA"), has recently published its latest policy statement on enhancing the client asset rules in the Client Assets sourcebook ("CASS"
France, Spain, Italy, Belgium and Greece extend short-sale bans on financial companies
- Schulte Roth & Zabel LLP
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- Belgium, France, Greece, Italy, Spain
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- 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
FSA recasts and revises UK rules on short selling
- Schulte Roth & Zabel LLP
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- United Kingdom
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- August 5 2010
On 23 July 2010, the UK's financial regulator, the Financial Services Authority ("FSA"), published its consultation paper CP 1018, entitled Feedback on CP 1011, final rules and further consultation ("CP 1018") which incorporates the final text of the new Financial Stability and Market Confidence sourcebook ("FINMAR"
FSA asserts new financial stability information-gathering powers
- Schulte Roth & Zabel LLP
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- United Kingdom
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- August 5 2010
On 23 July 2010, the UK's financial regulator, the Financial Services Authority ("FSA") published its consultation paper CP 1018 - Feedback on CP 1011, final rules and further consultation ("CP 1018")1 which incorporates the final text of the new Financial Stability and Market Confidence sourcebook ("FINMAR")2
Proposed new pan-European rules on short selling
- Schulte Roth & Zabel LLP
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- European Union
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- October 21 2010
On 15 September 2010, the European Commission ("Commission") published its proposal (the "Proposal") for a pan-European short-selling regime, which also takes into account uncovered credit default swaps (which have an equivalent economic effect
FSA remuneration code, EU guidelines on remuneration policies and proportionality
- Schulte Roth & Zabel LLP
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- USA
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- October 21 2010
The draft remuneration code ("Code") published by the UK Financial Services Authority ("FSA") at the end of July 2010 was roundly criticised by the UK media and fund management industry as being both inappropriate and unclear, based as it was on the FSA's existing remuneration code applicable to UK banks and the remuneration of their staff
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- Firm Name - Schulte Roth & Zabel LLP
- Author - Neil Robson
- Workarea - Capital Markets
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