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Navigating Financial Regulation - Investment Management Update March 2017

European Union, United Kingdom - March 30 2017 On 8 February 2017, the FCA published a discussion paper (DP17/1) which seeks stakeholder views on the practice of investing in illiquid assets…

Mike Booth, Andrew Henderson, Melanie Panzone, David Saunders

The Dormant Assets Report and CASS: an improved approach to gone-aways for managers?

United Kingdom - March 10 2017 Dealing with gone-away clients is a perpetual challenge for investment and wealth managers. The report of the Commission on Dormant Assets published…

Andrew Henderson

Navigating Financial Regulation - Investment Management Update February 2017

European Union, United Kingdom - February 20 2017 On 12 January 2017, the Financial Stability Board (FSB) published a report containing policy recommendations to address structural vulnerabilities…

Mike Booth, Andrew Henderson, Melanie Panzone, David Saunders

ESMA: Common principles for UCITS share classes

European Union - February 2 2017 On 30 January 2017, the European Securities and Markets Authority (ESMA) published an opinion setting out common principles for setting up and…

Julian Brown, Laura Houët

Navigating Financial Regulation - Investment Management Update January 2017

European Union, United Kingdom - January 24 2017 On 1 December 2016, Verena Ross, the Executive Director of the European Securities and Markets Authority (ESMA), delivered a speech at the ICI…

Mike Booth, Andrew Henderson, Melanie Panzone, David Saunders