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Securities and Exchange Commission Issues No-Action Letters to Address MiFID II

USA - October 30 2017 On Oct. 26, 2017, the U.S. Securities and Exchange Commission (SEC) staff issued three no-action letters intended to provide guidance to...

Laurin Blumenthal Kleiman, James Brigagliano, W. Hardy Callcott.


Money Laundering Regulations 2017: Preparing for the UK’s New Customer Due Diligence Regime

European Union, United Kingdom - May 30 2017 The UK is amending its requirements as to customer due diligence (and related matters) in the context of antimoney-laundering and counter-financing...

Rachpal K. Thind, Tom Hunter, John M. Casanova.


MiFID II 2016 Update - Implications for EU and Non-EU Investment Managers (UPDATED MAY 2017)

European Union, United Kingdom, USA - May 5 2017 MiFID II, which is to be implemented throughout the EU on January 3, 2018, represents a comprehensive and far-reaching set of reforms that will...

Rachpal K. Thind, Matthew Dening, John M. Casanova.


AIFMD 2017 Update - UK Annex IV Reporting to be Extended to Master Funds

European Union, United Kingdom - January 30 2017 On January 25, 2017, the UK Financial Conduct Authority (FCA) published amendments to its rules on Annex IV reporting under the EU...


The Choice Between UK LLP and UK LTD in the Changing UK Tax Landscape

United Kingdom - August 8 2016 Following its introduction in 2001, the UK limited liability partnership (LLP) has tended to be the vehicle of choice for fund managers looking to...

Will Smith, Stephen J. D. Ross, James Oussedik.