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Questrade Ordered to Pay $2.9 Million Fine to the Ontario Securities Commission for Failing to Consider Potential Conflict of Interest
  • Borden Ladner Gervais LLP
  • Canada
  • December 10 2018

In a recent settlement agreement with the Ontario Securities Commission (OSC), Questrade Wealth Management (Questrade) admitted to having acted

CSA Shines Spotlight on ETF Facts
  • AUM Law
  • Canada
  • November 30 2018

As part of Financial Literacy Month, on November 5 the Canadian Securities Administrators (CSA) launched a campaign encouraging investors to read the

Asset Management & Investment Funds: EU & International Developments: Nov 2018
  • A&L Goodbody
  • United Kingdom, European Union
  • November 30 2018

The withdrawal of the UK results in the loss of the right for UK financial operators to provide services in the EU27 Member States under EU financial

Crypto Firms Make Inroads with State and Federal Regulators
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • October 30 2018

Over the past couple of years, the crypto industry has come under heavy scrutiny from skeptical regulators seeking to root out fraud and protect

Guide to Listing Investment Funds on Euronext Dublin
  • Dillon Eustace
  • Ireland
  • October 30 2018

A listing on Euronext Dublin ("Euronext") offers a number of advantages, including most importantly increasing distribution capacity. Euronext offers

What Should Boards Really Be Doing About ESG?
  • Jones Day
  • USA
  • October 3 2018

For Corporate America, the focus on ESG issues has never been sharper. Investorsranging from retail shareholders to the very largest fund

Securities Litigation in Switzerland
  • Pestalozzi Attorneys at Law
  • Switzerland, Global
  • October 2 2018

A structured guide to securities litigation in Switzerland

Asset Management & Investment Funds: Irish Practice Developments Sept 2018
  • A&L Goodbody
  • United Kingdom, European Union, Ireland
  • September 28 2018

Some approaching compliance deadlines 5 October 2018. UCITS investing in a non-UCITS investment fund- Irish UCITS which currently invest in non-UCITS

Central Bank's Feedback Statement on the ETF Discussion Paper
  • William Fry
  • Ireland
  • September 17 2018

On 14 September 2018, the Central Bank of Ireland (CBI) issued the eagerly awaited feedback statement on its Discussion Paper on exchange traded funds

Exchange Traded Funds - CBI Feedback Statement to Discussion Paper 6
  • Maples and Calder
  • Ireland
  • September 17 2018

The Central Bank of Ireland (the "Central Bank") published its Feedback Statement on DP6 - Exchange Traded Funds on 14 September 2018 following