On 25th February 2022, the Securities and Exchange Commission (SEC) announced proposals that would provide greater transparency to investors and regulators by increasing the public availability of short sale related data.
Details
SEC Propose Amendments to Schedule 13D & G Reporting On the 10th February 2022, the Securities and Exchange Commission (SEC) announced proposals amending the rules governing beneficial ownership reporting under…
Details
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…
Details
On the 26th January 2022, the Securities and Exchange Commission (SEC) voted to propose amendments to Form PF.
The proposed amendments would apply to large hedge fund advisers, private equity advisers, and large liquidity fund advisers. The proposals are designed to enhance FSOC’s ability to monitor systemic risk, bolster the Commission’s regulatory oversight of private fund advisers, and enhance investor protection efforts.
Details
Background Due to increased volatility on the financial markets in 2020 triggered by the COVID-19 pandemic, ESMA decided to temporarily lower the reporting threshold of 0.2 % to 0.1 %,…
Details
With the publication of the updated European PRIIPs Template (EPT) for consultation, FinDatEx are now in the final stages of revising their European PRIIPs template (EPT) used extensively throughout the industry.
EPT 2.0 is now under public consultation until 22 November 2021.
Details
Welcome to the Funds-Axis Regulatory Round Up! This month’s regulatory round-up includes updates from: The FSB on Money Market Fund reform proposals The Central Bank of Ireland with amendments to…
Details
In 2020, Japan tightened foreign investment rules with the amendments to the Foreign Exchange and Foreign Trade Act (FEFTA). When the amendment entered into force on 7th June 2020, it expanded the scope of foreign investment reviews, lowered the threshold for screening the purchase of listed companies’ shares to acquisitions at 1 percent or more, and introduced a new prior notification exemption scheme for share acquisitions.
Details
Throughout August you will have seen a number of regulators publishing updated circulars, opinions and notices in relation to the application of the ESMA Guidelines on stress test scenarios under the Money Market Fund Regulation (EU) 2017/1131 (MMFR).
Details
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.
Details