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Category Archives: Fund Regulation

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HONG KONG: SFC Concludes Consultation on Changes to Open-Ended Fund Regime

Fund RegulationBy Trevor DempsterSeptember 2, 2020

On 2nd September 2020, the Securities and Futures Commission (SFC) released consultation conclusions on enhancements to the open-ended fund companies (OFC) regime, including the removal of all investment restrictions for private OFCs. Under…

EUROPE: ESMA Publishes Call for Evidence in the Context of the Review of Transparency Requirements for Equity and Non-Equity Instruments

Fund RegulationBy Trevor DempsterSeptember 2, 2020

On 1st September 2020, the European Securities and Markets Authority (ESMA), the EU’s securities markets regulator has published a Call for Evidence (CfE) in the context of its intention to review…

LUXEMBOURG: ALFI Answers ESA Consultation on ESG Disclosures

Fund RegulationBy Trevor DempsterSeptember 1, 2020

On 31st August 2020, Association of the Luxembourg Fund Industry (ALFI) answered the European Supervisory Authorities (ESAs) consultation paper setting out the proposed Regulatory Technical Standards (“RTS”) on content, methodologies…

EUROPE: BVI Welcomes ESMA’s Proposal to Harmonise Regulatory Fund Reporting

Fund RegulationBy Trevor DempsterAugust 28, 2020

The German Investment Funds Association BVI announced that it supports the objective of ESMA to standardize fund reporting on liquidity and leverage risks. Specifically, as part of the review of…

EUROPE: Risk Parameters in ESMA’s Guidelines on Stress Test Scenarios Under the Money Markets Fund Regulation to be Updated

Fund RegulationBy Trevor DempsterAugust 28, 2020

On 27th August 2020, the European Securities and Markets Authority (ESMA) confirmed that the 2019 Guidelines on stress test scenarios under the Money Market Funds Regulation (MMFR) will be updated in 2020 to…

GERMANY: BaFin Imposes Administrative Fines: Exporo Investment GmbH

Fund RegulationBy Trevor DempsterAugust 28, 2020

BaFin imposed administrative fines totalling 49,000 euros on Exporo Investment GmbH. The sanction related to breaches of Article 13 (1) of Regulation (EU) No 1286/2014 (PRIIPs Regulation). Exporo Investment GmbH failed to provide retail investors…

UNITED KINGDOM: FCA Open-Ended Funds Liquidity Review Survey

Fund RegulationBy Trevor DempsterAugust 27, 2020

On 26th August 2020, the Financial Conduct Authority (FCA) launched a survey for the joint Bank of England and FCA review of liquidity mismatch in open-ended funds. In Q4 2019, the Financial…

PHILIPPINE: SEC Issues Framework for Corporate Debt Vehicles to Support Firms Liquidity

Fund RegulationBy Trevor DempsterAugust 25, 2020

On 25th August 2020, the Securities and Exchange Commission (SEC) announced that it has approved regulatory framework for the creation and operation of new investment companies that will primarily invest in…

BELGIUM: Guidelines on the Reporting to Competent Authorities Under the MMF Regulation

Fund RegulationBy Trevor DempsterAugust 25, 2020

On 25th August 2020, the Financial Services and Markets Authority (FSMA) published a document that addresses the guidelines by the European Authority for Securities and Markets (ESMA) on the reporting to…

SWEDEN: FI Notification on EIOPA Guidelines on Outsourcing to Cloud Service Providers

Fund RegulationBy Trevor DempsterAugust 21, 2020

On 20th August 2020, the Financial Supervisory Authority (FI) announced that it had informed the European Insurance and Occupational Pensions Authority (EIOPA) that the authority intends to apply the guidelines on…

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