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Results: 1-10 of 20

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”


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”


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 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


FSA makes amendments to telephone taping rules
  • Schulte Roth & Zabel LLP
  • United Kingdom
  • November 22 2010

On 11 November 2010, the UK’s Financial Services Authority (“FSA”) published its latest policy statement (the “Policy Statement”) with amendments to its rules on the recording of telephone conversations and electronic communications


New FSA policy on prime brokerage client assets
  • Schulte Roth & Zabel LLP
  • USA
  • 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"


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


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


Reminder for UK private fund managers: the AIFM Directive takes effect on 22 July 2013
  • Schulte Roth & Zabel LLP
  • European Union, United Kingdom
  • July 9 2013

The Alternative Investment Fund Managers Directive ("AIFM Directive") of the European Union ("EU") must be implemented into the national law of all


FSA Remuneration Code update: delayed publication of final rules on remuneration
  • Schulte Roth & Zabel LLP
  • United Kingdom
  • November 3 2010

The UK Financial Services Authority ("FSA") has recently announced a delay to the anticipated publication date for its policy statement ("PS") and final rules on revising its Remuneration Code ("Code"