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Results: 1-10 of 4,288

ESMA writes to Commission on types of AIFM
  • Dentons
  • European Union
  • August 30 2013

ESMA has written to the Commission in response to the Commission's criticism of the draft RTS ESMA had submitted in respect of types of alternative


OSC requests comments on proposed amendments to Rule 13-502 (OSC fee structure)
  • Dentons
  • Canada
  • August 24 2012

On August 23, 2012, the Ontario Securities Commission (“OSC”) released a request for comments on proposed amendments to Rule 13-502 and Companion Policy 13-502CP, which deals with the OSC’s fees model


CSA releases notice regarding use and disclosure of preliminary economic assessments
  • Dentons
  • Canada
  • August 24 2012

On August 16, 2012, the Canadian Securities Administrators (“CSA”) published CSA Staff Notice 43-307 Mining Technical Reports Preliminary Economic Assessments (the “Notice”


FCA publishes market operator guidance
  • Dentons
  • United Kingdom
  • August 30 2013

FCA has published its finalised guidance on its expectations on market operators to ensure their members comply with their rules on an ongoing basis


FCA publishes AIFM passporting FAQs
  • Dentons
  • United Kingdom
  • August 30 2013

FCA has added to its webpages about the passporting arrangements under the AIFMD a set of FAQs for UK AIFMs managing or marketing alternative


OCC decides on pensions compensation guidance
  • Dentons
  • United Kingdom
  • August 22 2013

The OCC has published a decision sent to a complainant who had lost money as a result of being incorrectly advised to transfer a pension. The


FINRA and social media
  • Dentons
  • USA
  • June 24 2013

This past month the U.S. Financial Industry Regulatory Authority (FINRA) posted to its website a targeted examination letter that it has sent to


FCA updates on AIFMD passporting
  • Dentons
  • United Kingdom
  • August 22 2013

FCA has updated its webpages on the Alternative Investment Fund Managers Directive (AIFMD) in respect of passporting. It confirms the passport is


FCA figures show more advisers
  • Dentons
  • United Kingdom
  • August 22 2013

FCA has published figures showing that, contrary to fears industry raised, the number of advisers in the financial marketplace has increased since


FCA publishes CIS information
  • Dentons
  • United Kingdom
  • August 30 2013

FCA has published a new webpage setting out information and forms relating to collective investment schemes (CIS). The page explains the restrictions