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Allen & Overy LLP | USA, United Kingdom, European Union | 19 Mar 2019

Key Regulatory Topics: Weekly Update 8 March - 14 March 2019

On 7 February, ordinance no. 2019-75 relating to the preparatory measures in connection with the United-Kingdom’s withdrawal from the European Union


Katten Muchin Rosenman LLP | European Union | 16 Nov 2018

ESMA Updates Q&As Relating to Transparency and Market Structures

On November 14, the European Securities and Markets Authority (ESMA) published the following updated questions and answers document (Q&As): an


Travers Smith LLP | USA, OECD | 16 May 2018

The scale and impact of operational compliance requirements on private equity firms

In the late 1990s, when I started advising on structuring private equity funds, the internal functions of management companies seemed more


CMS Legal | European Union | 21 Feb 2018

CMS Guide to Passporting - Rules on Marketing Alternative Investment Funds in Europe

The EU Commission promoted passporting rights as one of the key benefits for hedge, private equity, real estate and other alternative investment fund


K&L Gates | USA, United Kingdom, European Union | 20 Jul 2017

MiFID II Toolkit for Global Investment Managers

Changes to the MiFID II regulatory regime will impose new obligations on many global investment managers that, to date, have avoided substantive


DLA Piper | European Union | 11 Aug 2016

FCA considers promotion, conflicts of interest and governance of dark pools in thematic review

On 21 July 2016, the Financial Conduct Authority (FCA) published the results of a thematic review, in which they examined 'dark pools' - trading


Jones Day | United Kingdom, European Union | 4 Aug 2016

The Alternative Investment Fund Managers Directive2016 Update

This White Paper sets out the key features of the European Directive on Alternative Investment Fund Managers (“AIFMD”) and considers its impact on


Cadwalader Wickersham & Taft LLP | European Union | 28 Oct 2011

MiFID and MiFIR on supervision of products and circuit breakers

This is the fifth in our series of briefings on MiFID and MiFIR.


Dentons | European Union | 30 Sep 2011

EFAMA responds on AIFMD level

EFAMA's response to ESMA's second consultation on implementing measures for the AIFMD also stresses that ESMA should not go beyond the Level 1 text, as to do so risks undermining it.


Morrison & Foerster LLP | United Kingdom | 5 Jul 2011

Product intervention in the UK and the new FCA

As we have previously discussed, the UK Financial Services Authority (the “FSA”) signalled a sea change in the way retail financial products will be regulated in the UK in its Discussion Paper on product intervention published in January 2011 (the “Discussion Paper”).

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