FCA: Approach to TPR Firms Operating in the UK
On 18 and 21 January 2022, the FCA published its approach to European firms in the temporary permissions regime (TPR) and on TPR firms...
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Emma heads the Global Registration Services team within the Funds & Investment Management team in the Dublin office. She has particular expertise in the global distribution activities of UCITS and AIFs (private or public) in foreign markets, including Europe, Asia Pacific, the Americas and the Middle East. Emma regularly advises promoters, fund managers and investment banks which operate UCITS, ETFs and AIFs on the initial registration process together with ongoing compliance, maintenance and filing requirements to ensure compliance with all relevant local regulatory and where relevant, exchange obligations.
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Sweden: New Procedures for Submission of KIIDs for Foreign UCITS
With effect from 1 September 2021, Finansinspektionen have introduced a new filing process for KIIDs of foreign UCITS authorised for...
ESMA Report on Marketing Requirements and Communications under CBDF Regulation
On 1 July 2021, ESMA submitted to the European Parliament, the Council and the European Commission its first report on national rules...
Cross-Border Distribution of Funds – Implementing Technical Standards (ITS) Published
The text of the Commission Implementing Regulation (EU) 2021/955 has been published in the Official Journal and shall enter into force on...
ESMA Warns Firms Around 'Reverse Solicitation'
ESMA have today (13 January 2021) issued a reminder of the (MiFID II) rules regarding ‘reverse solicitation’ in the context of the recent...
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