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Category:
Investment Compliance
India: SEBI’s Mutual Fund Regulation Review 2025 – What Fund Managers Need to Know
November 5, 2025
SEBI mutual fund regulation review 2025 outlines key reforms in AMC governance, TER, and digital disclosures. Read the SEBI consultation…
ESMA Final Report: UCITS Eligible Assets Directive – Key Changes for Investment Compliance
July 25, 2025
Discover ESMA’s final recommendations on UCITS eligible assets, including look-through requirements, alternative asset exposure, and regulatory alignment. Learn what investment…
FCA Handbook Notice 126: Key Changes to UCITS Concentration Rules
January 30, 2025
Discover the FCA’s latest updates to UCITS concentration rules under COLL 5.2.29. Learn how Galaxy by Funds-Axis helps automate compliance…
FCA Handbook Notice 125: NURS Investment into LTAFs – What’s Changed and What It Means
December 20, 2024
FCA Handbook Notice 125 removes barriers for NURS investing in LTAFs and clarifies rules on unregulated securities. Learn how Galaxy…
US Money Market Fund Regulation – More Work Needed!
February 8, 2021
Earlier this month the Securities and Exchange Commission (SEC) published a request for public comment on potential reform measures to…
UCITS Eligible Markets – Regulated, Operates Regularly, Open to the Public
February 1, 2021
Following the end of the transition period, on the 1st January 2021, COLL 5.2.10 was updated to include the “United…
Are you ready for dual disclosures after the Brexit transition period?
December 16, 2020
As we move closer and closer to a no-deal Brexit, the likelihood is, that come the end of the UK’s…
Overhaul of Global Shareholder Disclosure Rules – Part 1
November 6, 2020
In July, the SEC announced proposed amendments to 13F Reporting, to update the reporting threshold for institutional investment managers, as…
AIFMD II Consultation
October 26, 2020
On 22nd October 2020, the European Commission (EC) published the much anticipated consultation on the Alternative Investment Fund Managers Directive…
CP86 Thematic Review and Conclusions
October 23, 2020
On 20th October 2020, the Central Bank of Ireland (CBI) published a letter to all UCITS management companies, authorised Alternative…
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