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National news

10
Mai
2019
US - Reform for Securities Offering by Closed-End Investment Companies
On 20 March 2019, the Securities and Exchange Commission voted to propose rule amendments to allow business development...
National news
On 20 March 2019, the Securities and Exchange Commission voted to propose rule amendments to allow business development companies and registered closed-end funds (collectively, “affected funds”) to use the registration, offering, and communications reforms the Commission already adopted for operating companies.
US - Reform for Securities Offering by Closed-End Investment Companies
10
Mai
2019
GB - MoUs between FCA and EU regulators about cooperation
On 1 February 2019, the FCA announced that it had agreed Memoranda of Understanding (MoUs) with the European Securities...
National news
On 1 February 2019, the FCA announced that it had agreed Memoranda of Understanding (MoUs) with the European Securities and Markets Authority (ESMA) and EU27 regulators dealing with cooperation and exchange of information in the event of a hard Brexit scenario.
GB - MoUs between FCA and EU regulators about cooperation
10
Mai
2019
ES - Spanish circular on information to be provided by management companies
On 26 December 2018, the Official State Gazette (BOE) has published CNMV Circular 5/2018, amending previous CNMV...
National news
On 26 December 2018, the Official State Gazette (BOE) has published CNMV Circular 5/2018, amending previous CNMV Circulars on public periodic reporting on accounting standards, annual accounts and reserved information statements of venture capital entities, CIS and venture capital entity management companies and branches of European management companies...
ES - Spanish circular on information to be provided by management companies
10
Mai
2019
DE - German draft bill about the disclosure of certain Tax Arrangements
On 30 January 2019, the German Ministry of Finance has introduced a draft bill for the implementation of EU Mandatory...
National news
On 30 January 2019, the German Ministry of Finance has introduced a draft bill for the implementation of EU Mandatory Disclosure Rules – DAC 6.
DE - German draft bill about the disclosure of certain Tax Arrangements
10
Mai
2019
EI - Money Market Funds and Share Cancellation Mechanism
The Central Bank of Ireland and the Luxembourg regulator (CSSF) issued a joint statement conveying their respective...
National news
The Central Bank of Ireland and the Luxembourg regulator (CSSF) issued a joint statement conveying their respective supervisory approaches in relation to share cancellation and the implementation of the Money Market Fund Regulation (“MMFR”).
EI - Money Market Funds and Share Cancellation Mechanism
10
Mai
2019
LU - Circular CSSF on electronic transmission of funds documents
On 29 January 2019, the CSSF issued its circular 19/708 concerning the electronic transmission of prospectuses and...
National news
On 29 January 2019, the CSSF issued its circular 19/708 concerning the electronic transmission of prospectuses and financial reports of Undertakings for Collective Investment ("UCIs") and Specialized Investment Funds ("SIFs") to the CSSF (the "Circular 19/708")
LU - Circular CSSF on electronic transmission of funds documents
10
Mai
2019
FR - Guide on UCI outperformance fees
In December 2018, the French Asset Management Association (AFG) and the French Association of Securities Professionals...
National news
In December 2018, the French Asset Management Association (AFG) and the French Association of Securities Professionals (AFTI) published a best market practices guide on outperformance fees in UCITS and General Investment Funds.
FR - Guide on UCI outperformance fees
10
Mai
2019
FR - AMF study on impact of harmonised tick size regime
On 15 February 2019, the Autorité des Marchés Financiers (AMF) released the results of a new study on the impact of the...
National news
On 15 February 2019, the Autorité des Marchés Financiers (AMF) released the results of a new study on the impact of the European harmonised tick size regime stemming from the new Markets in Financial Instruments Directive (MiFID II).
FR - AMF study on impact of harmonised tick size regime
21
Jan
2019
US - Adoption of rules about better Information from Brokers on Orders Handling
On 2 November 2018, the Securities and Exchange Commission announced that it has adopted amendments that will require...
National news
On 2 November 2018, the Securities and Exchange Commission announced that it has adopted amendments that will require broker-dealers to disclose to investors new and enhanced information about the way they handle investors’ orders.
US - Adoption of rules about better Information from Brokers on Orders Handling
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