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Guidelines on product oversight and governance arrangements for retail banking products

USA - November 18 2014 The EBA published a consultation paper on 10 November 2014 recommending good practice guidelines for both manufacturers and distributors of retail…

Stuart Axford, George M. Williams, Jr., Ingrid Kalisch, Sandra Pfister.

Compliance alert: 2015 work program of the ESAs

European Union - November 10 2014 The Joint Committee of the European Supervisory Authorities (EBA, ESMA and EIOPA) has published its working program for the upcoming year. Throughout…

Stuart Axford, George M. Williams, Jr., Ingrid Kalisch, Sandra Pfister.

Compliance alert: ESMA’s 2015 Work Program

European Union - November 6 2014 ESMA has three strategic objectives—investor protection, financial stability and market functionality—that are achieved through four…

Stuart Axford, George M. Williams, Jr., Ingrid Kalisch, Sandra Pfister.

It’s all there: post-AIFMD fundraising options in Germany

Germany - October 9 2014 There is significant potential for alternative investment fund managers (AIFMs) to access Germany's large base of institutional investors. Despite…

Stephen Culhane, Simon Firth, Daniel Lewin, Dr. Thomas A. Jesch, LL.M..

Closing the last loopholes? Thoughts regarding the draft of an Act for the Protection of Retail Investors

Germany, USA - August 12 2014 On 28 July 2014, the German Finance Ministry released the draft of an Act for the Protection of Retail Investors. The German Federal Government, by…

George M. Williams, Jr., Dr. Thomas A. Jesch, LL.M., Sabrina Siemko.