We are proud to have passed our latest audit by the Global certification body, NQA and have been…
The European Commission has adopted a decision declaring that a number of United States exchanges supervised by the…
Last month the CSSF announced the launch of the eRIIS, its new online portal for those subject to…
The past month brought several important developments, including: the FCA confirming the PRIIPs regulation, the FCA’s reminder to…
In July 2021, the FCA consulted (in CP21/23) on proposals to address the most serious and persistent concerns…
The FCA have published a letter outlining the key risks that custody and fund services firms need to…
Pieter joined Funds-Axis in 2013 and manages the Regulatory Research team. He has a particular specialist focus on shareholder disclosures, as well as fund regulations including PRIIPs, UCITS and AIFMD. Pieter has a Law Degree, LPC Diploma and LLM in Globalisation and Law specialising in Corporate and Commercial Law.
Rosie is a Director and has been with Funds-Axis for 10 years. She heads up the Relationships team and has a Law degree from the University of Aberdeen. She is an Associate of the Chartered Institute for Securities and Investment.
Darren is the founder and Managing Director of Funds-Axis. He has 20 years financial services and fund management experience, including Big 4 Accountancy firms & leading depositary banks. He has specialist, industry-leading knowledge of the UCITS and AIFMD requirements.
The past month brought several important developments, including: the FCA confirming the PRIIPs regulation, the FCA’s reminder to firms regarding exposure to cryptoassets, a new major shareholding reporting process in Luxembourg; and FinDatEx publishing EET V1 and updated EMT V4.
Welcome to the Funds-Axis Regulatory Round Up! The past month brought a number of important developments on topics impacting ESG, the Money Market Funds Regulation, liquidity, UCITS eligible market due…
January started off the new year with several important regulatory developments in the investment funds and asset management industry. The most notable developments include: The proposed amendments to Form PF…
Last month the CSSF announced the launch of the eRIIS, its new online…
The past month brought several important developments, including: the FCA confirming the PRIIPs…
In July 2021, the FCA consulted (in CP21/23) on proposals to address the…
The FCA have published a letter outlining the key risks that custody and…
Welcome to the Funds-Axis Regulatory Round Up! The past month brought a number…
On 25th February 2022, the Securities and Exchange Commission (SEC) announced proposals that…
SEC Propose Amendments to Schedule 13D & G Reporting On the 10th February…
January started off the new year with several important regulatory developments in the…
On the 26th January 2022, the Securities and Exchange Commission (SEC) voted to…
Due to increased volatility on the financial markets in 2020 triggered by the…
With the publication of the updated European PRIIPs Template (EPT) for consultation, FinDatEx…
Welcome to the Funds-Axis Regulatory Round Up! This month’s regulatory round-up includes updates…
In 2020, Japan tightened foreign investment rules with the amendments to the Foreign…
Throughout August you will have seen a number of regulators publishing updated circulars,…
In this month’s round-up, of particular interest, nearly two years after its publication,…
In this month’s round-up, of particular interest, nearly two years after the implementation…
An increase in global regulation has subjected fund managers and their outsourcing partners…
Of all the new regulations we have seen over the last few years,…
In 2019, the Bank of England (BoE) and Financial Conduct Authority (FCA) launched…
The pressure is rising on the ManCo industry – Management Companies (ManCos) are…
You’ve heard of FinTech, you’ve heard of RegTech, but have you heard of…
The Chairman of the Securities and Exchange Commission (SEC) recently gave a speech…
Last week the FCA published the results of their review on ‘host’ Authorised…
On 30th June, the Financial Conduct Authority (FCA) published a review of Host…
The past month brought several important regulatory developments, particularly on regulatory supervisory feedback,…
Liquidity risk in managed funds has been a prominent and increasing concern of…
Welcome to the Funds-Axis Regulation Round Up! The past month brought a number…
In early 2020, the European Securities and Markets Authority (ESMA) launched a Common…
Welcome to the Funds-Axis Regulation Round Up! Our monthly update highlights the latest…
Investment Managers need to ensure they have in place appropriate systems and procedures…
With the end of the first quarter of the year, March brought with…
The European Securities and Markets Authority (ESMA) has launched a consultation on potential…
ESMA has published the results of the 2020 Common Supervisory Action (CSA) on…
IOSCO has launched a Thematic Review on the implementation of Liquidity Risk Management…
It’s been a busy couple of months for the Swedish Supervisory Authority (Finansinspektionen)…
February saw a number of developments on a range of areas, including: SFDR;…
This week we return to our refresher series on liquidity risk rules around…
Earlier this month the Securities and Exchange Commission (SEC) published a request for…
UCITS IV requires UCITS to make an updated KIID available to investors for…
This week, on the 1st February 2021, the Statutory Instrument (SI) amending the…
Following the end of the transition period, on the 1st January 2021, COLL…
Welcome to the first monthly regulatory round-up of 2021. Each month we will…
Yesterday, ESMA announced that it will be launching a Common Supervisory Action (CSA)…
As we move closer and closer to a no-deal Brexit, the likelihood is,…
Foreign investment and sensitive sectors regimes enable government across the world to scrutinise…
The past month brought important developments on topics such as fund liquidity, costs…
Throughout the year regulators have focused on liquidity, and as this year draws…
On 11th November 2020, the UK Government introduced the long-awaited National Security and…
In July, the SEC announced proposed amendments to 13F Reporting, to update the…
Despite the continuing focus on the rapidly rising COVID-19 infections rates in the…
On Wednesday, the Securities and Exchange Commission (SEC) approved 3 to 2, the…
On 22nd October 2020, the European Commission (EC) published the much anticipated consultation…
On 20th October 2020, the Central Bank of Ireland (CBI) published a letter…
Last month it was great to see a number of key liquidity developments…
Yesterday, the Financial Conduct Authority (FCA) fined a Hong Kong hedge fund just…
The big month of liquidity finally arrived where we saw a number of…
The Canadian Securities Administrators (CSA) has published guidance to help investment fund managers…
The 30 September compliance deadline is fast approaching for a number of liquidity…
It’s been almost a year since the FCA Assessment of Value rules came…
All eyes may be on the month ahead as we enter the final…
Of all the new regulations we have seen over the last few years,…
As discussed in our previous blog , ESMA has written to the European…
When the European Commission announced back in March 2018, a proposal to amend…
Last week, ESMA published a letter to the Commission setting out 19 key…
The U.S. Securities and Exchange Commission (SEC) recently proposed significant modifications to the…
Last Friday (14th August) was the Q2 filing deadline for 13F reporting. But…
Although the regulatory responses to COVID-19 have begun to slow, the past month…
On 2nd September 2019, the European Securities and Markets Authority (ESMA) published its…
Last week we took a brief look at the liquidity risk management regime…
Although liquidity risk management practices vary in different jurisdictions, in most cases, asset…
This month’s regulatory round-up pulls together some interesting regulatory developments we have tracked…
This month marked one year since the collapse of Neil Woodford’s LF Woodford…
ESMA recently published a supervisory briefing on the supervision by National Competent Authorities…
As discussed in previous blogs, later this year new FCA rules for open-ended…
On 31 March 2020, the European Securities and Markets Authority (ESMA) announced that…
Money market funds (MMFs) are an important part of the European and global…
The European Securities and Markets Authority (ESMA) has published a supervisory briefing on…
The new Japan foreign investment rules were fully implemented on 7th June after…
Liquidity risk was amplified by the COVID-19 pandemic with regulators introducing a number…
This month’s regulatory round-up, pulls together some of the interesting regulatory developments we…
Fund liquidity problems witnessed in 2019 with Woodford and H2O Asset Management brought…
With the recent market volatility caused by the COVID-19 pandemic, regulators across the…
With over 100 developments tracked in the last month on ATLAS Funds Training,…
Under the FCA’s Asset Management Market Study, the final report of which was…
On 30th October 2018, following the opinion issued by the European Securities and…
This month’s briefing covers the latest developments impacting asset managers in the wake…
It seems that ‘liquidity risk’ is the prevalent term on everyone’s lips these…
Firms must have appropriate systems, controls and governance to oversee and manage liquidity…
A number of key regulators including ESMA, the CBI and the FCA have…
While the FCA’s Assessment of Value (AoV) process is a new development in…
Fund liquidity, like a mirage in the desert, can disappear in an instant…
Whilst UK AFMs are currently busily engaged in the FCA Assessment of Value…
With the FCA derivative use reporting deadline fast approaching, it’s the perfect time…
The FCA’s terminology is FCA Assessment of Value, a shift from the earlier…
In this, the second of our series on FCA Assessment of Value, we…
Performance of the FCA Assessment of Value process will be a significant challenge…
Closet trackers, also known as closet indexing or index hugging, refers to the…
Following 4 years of consultations and several minor revisions, the Monetary Authority of…
