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Are you ready for the new requirements under the Hong Kong Fund Manager Code of Conduct?
  • Dechert LLP
  • Hong Kong
  • October 18 2018

The new requirements for Hong Kong fund managers under the Fund Manager Code of Conduct...


Impact of New EU Securitisation Regulations on UCITS
  • Dechert LLP
  • USA, European Union
  • October 8 2018

The new EU securitisation regulations (Regulations)1 came into force on 17 January 2018, and will be directly applicable across the European Union


A Face-Lift for GIPS: CFA Institute Publishes Proposed Revisions to the GIPS Standards in the GIPS 2020 Exposure Draft
  • K&L Gates
  • USA
  • October 3 2018

On August 30, 2018 the CFA Institute released for public comment the GIPS 2020 Exposure Draft (the “Exposure Draft”),1 which


Co-Investments: The Current Outlook
  • Dechert LLP
  • USA
  • September 21 2018

Private equity sponsors have typically offered co-investment opportunities to certain large investors in their main funds, or as a means to bridge


SEC issues administrative order against U.S - Based global investment management firm
  • Buckley Sandler LLP
  • USA
  • August 31 2018

On August 27, the SEC issued an administrative order settling allegations against a U.S.-based investment management firm, which remained outstanding


CFTC-Registered Investment Managers and Other NFA Members Face New Disclosure Requirements for Virtual Currency Activities
  • Baker McKenzie
  • USA
  • August 17 2018

Beginning 31 October 2018, the National Futures Association (NFA) will require investment managers, future commission merchants (FCMs) and introducing


New Obligations for Registrants Arising Out of Proposed Amendments to NI 31-103
  • Fasken
  • Canada
  • August 14 2018

On June 21, 2018, the Canadian Securities Administrators ("CSA") published the proposed amendments to National Instrument 31-103 Registration


Investment Funds, Advisers and Derivatives - Mid-Year Recap of Our 2018 Client Updates
  • Sidley Austin LLP
  • USA
  • July 12 2018

As the developments affecting the investment management industry continue to unfold, we have once again prepared our semi-annual compendium of


Further Staff Guidance on Inadvertent Custody
  • Thompson Hine LLP
  • USA
  • July 9 2018

An adviser can avoid inadvertent custody if it does not recommend, request or require that clients use a particular custodian and does not know or


Proposed ETF Rule Comes with Widely Expected Conditions and Some Notable Twists
  • Thompson Hine LLP
  • USA
  • July 9 2018

SEC’s proposed Rule 6c-11 would permit most ETFs that satisfy certain conditions to operate without obtaining an exemptive order. ETFs in