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Financial Regulatory Developments 29 November 2013 - European Securities and Markets Authority (ESMA)
  • Dentons
  • European Union
  • November 29 2013

ESMA has published its technical advice to the Commission with data on small and medium-sized


Financial Regulatory Developments 13th December - Investment Management Association (IMA)
  • Dentons
  • United Kingdom
  • December 13 2013

IMA has issued a set of outsourcing principles, to address regulatory concerns about outsourcing in the asset management sector. The principles


Financial Regulatory Developments 29 November 2013 - European Banking Authority (EBA)
  • Dentons
  • European Union
  • November 29 2013

As part of its Level 2 work on the Capital Requirements Regulation (CRR) EBA is now, and until 24


Financial Regulatory Developments 14 February - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • February 14 2014

FCA has confirmed the EU has changed its former position that Alternative Investment Fund Managers (AIFMs) would not necessarily be able to use the


Financial Regulatory Developments 14 February - European Parliament (EP)
  • Dentons
  • European Union
  • February 14 2014

EP has published a summary of the responses to its consultation on possible measures to enhance the coherence of EU financial services legislation


Financial Regulatory Developments 14 February - Legislation
  • Dentons
  • United Kingdom
  • February 14 2014

A Private Member's Bill, the Investment Management (Fiduciary Duties) Bill has had its first reading in the Commons. The Bill aims to place a


Financial Regulatory Developments 14 February - European Securities and Markets Authority (ESMA)
  • Dentons
  • European Union
  • February 14 2014

ESMA has published an opinion to remind supervisors and firms of the standards applicable to sales of complex products. ESMA feels firms are not


Cloudy or clear? The changeable outlook for the use of derivatives in UCITS funds
  • Dentons
  • European Union, Ireland
  • February 11 2014

The Alternative Investment Fund Managers Directive 201161EU (AIFMD) has caused much upheaval in the European alternative fund industry and beyond


Financial Regulatory Developments 28 February - Legal Entity Identifier Regulatory Oversight Committee (LEIROC)
  • Dentons
  • Global
  • February 28 2014

LEIROC has published a common data format to be used by pre-Local Operating Units (pre-LOUs) as a standard for publishing LEI data during the interim


AFME publishes post-trade papers
  • Dentons
  • European Union
  • May 17 2013

AFME has made available a series of papers regarding legal and operational issues of post-trade infrastructure: Key proposals for effective