Regulatory Round-ups • Funds-Axis Limited

Regulatory Round-up: May 2022

Regulatory Round-upsBy Trevor Dempster 6 June 2022

Welcome to the Funds-Axis Regulatory Round Up! The past month has brought a number of important developments on topics including ESG, UCITS, AIFMD II and Money Market Funds. The month also saw: The Central Bank of Ireland approve the process for UCITS side-pocketing arrangements, The ESAs publish recommended changes to make the PRIIPS Key Information Document more consumer friendly, and The UK Takeover Panel publish a consultation on presumptions of the definition of “Acting in Concert”.

Regulatory Round-up: March 2022

Regulatory Round-upsBy Trevor Dempster 6 April 2022

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.

Regulatory Round-up: January 2022

Regulatory Round-upsBy Trevor Dempster 3 February 2022

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 ESMA launching a Common Supervisory Action on the valuation of UCITS and AIFs across the EU The EU lowering of the reporting threshold for net…

Regulatory Round-up: August 2021

Regulatory Round-upsBy Trevor Dempster 2 September 2021

In this month’s round-up, of particular interest, nearly two years after its publication, the EU’s new regulatory framework facilitating the cross-border distribution of collective investment schemes applied from 2nd August. With this we saw several regulators announce the transposition of the new rules.

Regulatory Round-up: July 2021

Regulatory Round-upsBy Trevor Dempster 2 August 2021

In this month’s round-up, of particular interest, nearly two years after the implementation of the Assessment of Value requirements, the FCA have finally provided feedback following a review of 18 firms conducted between July 2020 and May 2021…

Regulatory Round-up: June 2021

Regulatory Round-upsBy Trevor Dempster 1 July 2021

The past month brought several important regulatory developments, particularly on regulatory supervisory feedback, with the FCA unimpressed with UK AFMs governance and operations processes, Belgium’s FSMA expecting vast improvements to PRIIPs KIDs and New Zealand’s FMA less than impressed with MIS Managers liquidity risk management.

Regulatory Round-up: April 2021

Regulatory Round-upsBy Trevor Dempster 3 May 2021

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.

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