Regulatory updates

The FSA published its Discussion Paper concerning the transposition of the Directive with a deadline for comments of 23 March… Read more

Under the Securities and Exchange Commission’s (“SEC”) transition rule, every firm which was SEC registered on 1 January 2012 will… Read more

The IRS and US treasury today released proposed regulations to govern the application of the Foreign Account Tax Compliance Act… Read more

Due to a simple administrative mistake when completing the FEES Return in February 2010 (and possibly 2011) many firms received… Read more

Will an AIF’s Investment Manager be subject to AIFMD? Probably not! The European Securities and Markets Authority (ESMA) have published… Read more

With the publication on 8 February 2012 of proposed regulations for compliance with the Foreign Account Tax Compliance Act (“FATCA”),… Read more

The Securities Exchange Commission (SEC) adopted final rules on 22 June 2011 implementing provisions of the Dodd-Frank Act (“the Act”)… Read more

Agency's updated rules allay some concerns over regulatory overkill. The final rules of Form PF announced last week by the… Read more

The Alternative Investment Fund Management Directive (AIFMD) Level 1 was passed into law at the beginning of July 2011, providing… Read more

We were in little doubt that MiFID II would bring in further changes to the Transaction Reporting regime. It comes… Read more