Funds and asset management—general

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Practice notes
Authorisation of an authorised unit trust (AUT)What is an AUT?A unit trust is a type of collective investment scheme (CIS) in which the assets are...
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9th Nov
Practice notes
BREXIT: The UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. To ensure...
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9th Nov
Practice notes
BREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
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9th Nov
Practice notes
UCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued 26th...
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Produced in partnership with Andrew Henderson Partner, Eversheds Sutherland LLP 12th Jan
Practice notes
Brexit: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
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9th Nov
Practice notes
Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...
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9th Nov
Practice notes
On 10 June 2015, the Fair and Effective Markets Review (FEMR) published its final report. Running to 106 pages, the report covers a wide range of...
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9th Nov
Practice notes
This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...
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9th Nov
Practice notes
The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...
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9th Nov
Practice notes
The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...
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Produced in partnership with Morrison & Foerster LLP 12th Jan
Practice notes
This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...
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9th Nov
Practice notes
Brexit; As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
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Produced in partnership with Morrison & Foerster LLP 12th Jan
Practice notes
Background to the Single RulebookHistorically, the European Commission (Commission) favours using Directives (rather than Regulations) to set out its...
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Produced in partnership with DLA Piper 12th Jan
Practice notes
The Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of business by a regulated firm relevant to...
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9th Nov
Practice notes
BREXIT: UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further...
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9th Nov
Practice notes
The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive...
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9th Nov

Most recent Funds and asset management—general content

Practice notes
Getting the Deal Through: Private Equity (Transactions) 2020Jurisdictions coveredThe following jurisdictions are covered in this report:Australia;...
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16th May
Practice notes
Getting the Deal Through: Private Equity (Fund Formation) 2020Jurisdictions coveredThe following jurisdictions are covered in this report:Australia;...
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16th May
Practice notes
MiFID II, MIFIR and asset management—in a nutshellBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Linklaters 15th May
Practice notes
AIFMD—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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15th May
Practice notes
Coronavirus (COVID-19)—key issues for fund managersAs a result of coronavirus (COVID-19) pandemic, investment funds have faced challenges both...
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15th May
Practice notes
Impact of Brexit on asset managers and investment fundsThis Practice Note considers the impact of Brexit on asset managers and investment funds and...
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15th May
Practice notes
Shareholder Rights Directive IIShareholder Rights Directive IIThis Practice Note gives an overview of Directive (EU) 2017/828 which amended Directive...
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Produced in partnership with Reva Raghavan of Kirkland & Ellis International LLP 15th May
Practice notes
The private equity market in the United KingdomBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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15th May
Practice notes
Coronavirus (COVID-19)—key financial services issuesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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15th May
Practice notes
Changing the depository of an open-ended investment companyIntroduction to OEICS and depositoriesAn open-ended investment company (OEIC) is an...
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Produced in partnership with Jonathan Bayliss of Partner, Charles Russell Speechlys LLP 15th May
Practice notes
Non-UCITS retail schemes (NURS)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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Produced in partnership with Elizabeth Budd of Pinsent Masons 15th May
Practice notes
Impact of Brexit: Packaged retail and insurance-based investment products (PRIIPs)—quick guideThis Regulation (EU) 1286/2014 on key information...
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15th May
Practice notes
Impact of Brexit: SFTR—quick guideThis Brexit Securities Financing Transactions Regulation (EU) 2015/2365 (SFTR) quick guide details current UK...
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15th May
Practice notes
Facilitating cross-border distribution of collective investment fundsBREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State....
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15th May
Practice notes
Impact of Brexit: UCITS—quick guideThis Brexit Undertakings for Collective Investment in Transferable Securities 2009/65/EC (UCITS) quick guide...
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15th May
Practice notes
Quick Look Brexit Financial Services Legislation Status Guide—SFTRThis Quick Look Brexit Financial Services Legislation Status Guide provides...
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15th May
Practice notes
Quick Look Brexit Financial Services Legislation Status Guide—PRIIPsThis Quick Look Brexit Financial Services Legislation Status Guide provides...
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15th May
Practice notes
Qualified investor schemes (QIS)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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Produced in partnership with Lora Froud of Macfarlanes 15th May
Practice notes
Packaged Retail and Insurance-based Investment Products (PRIIPs)—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end...
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15th May
Practice notes
The FCA’s Asset Management Market StudyBackground to the studyThe FCA published the terms of reference for its Asset Management Market Study (AMMS) on...
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15th May

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