Welcome to the Funds-Axis Regulation Round Up! The past month brought a number of important regulatory developments, most…
In early 2020, the European Securities and Markets Authority (ESMA) launched a Common Supervisory Action (CSA) on UCITS…
Welcome to the Funds-Axis Regulation Round Up! Our monthly update highlights the latest developments impacting the investment compliance…
Investment Managers need to ensure they have in place appropriate systems and procedures to ensure they meet the…
With the end of the first quarter of the year, March brought with it a number of developments…
The European Securities and Markets Authority (ESMA) has launched a consultation on potential reforms of the EU Money…
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.
Welcome to the Funds-Axis Regulation Round Up! The past month brought a number of important regulatory developments, most significantly on funds’ marketing communications and the extension of the PRIIPs exemption of UK UCITS funds. There were also notable update on topics such as AIFMD, UCITS, Liquidity and EU short selling reporting.
Welcome to the Funds-Axis Regulation Round Up! Our monthly update highlights the latest developments impacting the investment compliance industry. The past month brought developments on a range of topics, including: UCITS & AIFMD, Fund Liquidity, Major Shareholdings, Short Selling and PRIIPs KID.
With the end of the first quarter of the year, March brought with it a number of developments on a range of areas, including: UCITS & AIFMD, Money Market Fund Regulation, Liquidity Risk Management, Short Selling, ESG and ELTIF Regulation. See below this month’s regulatory round-up to read about these developments and many more we tracked throughout March.
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…
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…
