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  • CMS - Focusing on Funds - AIFMD pre-marketing proposals

    This Focusing on Funds update looks at the hot topic of funds marketing and proposals for a pre-marketing regime for alternative investment funds. This is an area we are often asked to advise on as various forms of “soft marketing” activity trigger regulatory filing requirements in some but not all ...
  • Brexit update for financial services firms week - ending 19 October 2018

    The week in outline: The week was dominated by the EU summit in Brussels and the apparent stalemate in the Withdrawal Agreement (WA) negotiations. As anticipated in last week’s update, both sides have now acknowledged the idea of incorporating a mechanism in the WA, which would enable the 21-month transitional ...
  • The Senior Managers and Certification Regime – HR aspects – are you up to speed?

    The impact of the SMCR on exits We will be holding the fourth and final webinar in our series "The Senior Managers and Certification Regime - HR impact - are you up to speed?" on Wednesday 24 October 2018 12:15 – 13:00 (UK time) in which we will consider the ...
  • Anti-Money Laundering and Virtual Currencies Webinar

    Event information: 12 November 2018 | 15:00 UK / 16:00 CET The use of virtual currencies has become more prevalent over the past few years. While regulation on the use of, and services related to, these currencies has developed, the risk of fraud and money laundering associated with dealing in ...
  • Brexit update for financial services firms - week ending 12 October 2018

    The week in outline: The headlines were dominated again by speculation about the fate of the Withdrawal Agreement (WA). The draft WA does not have specific provisions for the financial services (FS) sector. The key provision for FS is the proposed transitional period (TP) during which the UK would remain ...
  • Brexit update for financial services firms - week ending 5 October 2018

    The week in outline: In his speech on Friday (see Document 1 below), Donald Tusk repeated the offer of a ‘Canada+++’ treaty with the UK. This was widely reported in the UK press in the context of the debate at the Conservative Party conference about alternatives to the Chequers/White Paper ...
  • FCA consults on illiquid open-ended retail funds

    Today the FCA has launched a consultation paper (CP 18/27) on open-ended retail funds investing in illiquid assets. After the Brexit vote in 2016, there were significant investor outflows from open-ended real estate funds resulting in a number of fund suspensions. The FCA subsequently issued a discussion paper (17/1) but ...
  • CMS Introduction to funds training

    Investment Funds is a highly specialist area, with a complex web of regulation and taxation, as well its own jargon, that can bewilder to those new to the industry. The CMS Funds Group’s ‘Introduction to Funds’ training programme is an ideal way of demystifying Investment Funds either for new joiners ...
  • Court of Appeal upholds decision that a private company is not amenable to judicial review

    In the recent Holmcroft appeal, the Court of Appeal held that the Divisional Court had been correct in deciding that KPMG, acting as Independent Reviewer in a misselling redress scheme approved by what was then the Financial Services Authority (“FSA”), was not amenable to judicial review. As such, the question ...
  • Brexit update for financial services firms - week ending 28 September 2018