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Overview of AIFMD Delegation and Letterboxing

06/08/2016 ||By: Getsy

In the European Union (EU) there are a number of different entities that may be appointed as the Alternative Investment Fund Manager (AIFM) under the Alternative Investment Fund Managers Directive (AIFMD) (2011/61/EU), e.g. investment manager, management company, self-managed fund. However, given the extensive range of new regulatory compliance, portfolio management, and risk management requirements under […]

Overview of Capital Requirements Directive IV Prudential Supervision: Part 1

06/06/2016 ||By: Natasha

The new Capital Requirements Directive IV (Directive 2013/36/EU) (CRD IV) together with the Capital Requirements Regulation (EU) (No 575/2013) (CRR IV), form the latest package of regulatory reforms aimed at strengthening the financial system in the European Union (EU). CRR IV provides detailed harmonised rules regarding new prudential requirements for credit institutions and investment firms. […]

Solvency II Directive (2009/138/EC) and Insurance Business Consolidation: Part 1

06/03/2016 ||By: Nandini J

It looks like insurance and reinsurance undertakings (Firms) are set to witness a surge of activity within the European insurance markets in 2016. The EIOPA review of the methodology to derive ultimate forward rates, discussions on countercyclical buffer rates, the looming 20 May 2016 Solvency II Day 1 returns deadline for December year end solo […]

AIFMD Implementation Challenges: Part 2

06/01/2016 ||By: Charles A

Since the Alternative Investment Fund Managers Directive (AIFMD) (2011/61/EC) went into effect on 21st July 2011, Alternative Investment Fund Managers (AIFMs) (i.e. hedge funds, private equity funds, real estate funds, and institutional funds) have faced a number of significant operational implementation challenges.  Risk Management Under the AIFMD, AIFMs are required to functionally and hierarchically separate […]

AIFMD Implementation Challenges: PART 1

05/30/2016 ||By: Charles A

Since the Alternative Investment Fund Managers Directive (AIFMD) (2011/61/EC) went into effect on 21st July 2011, Alternative Investment Fund Managers (AIFMs) (i.e. hedge funds, private equity funds, real estate funds, and institutional funds) have faced a number of significant operational implementation challenges.  Appointment of a Third-Party Depositary Under the AIFMD all AIFMs must appoint a […]

Solvency II Impact on Existing Asset Management Arrangements: PART 1

05/26/2016 ||By: Getsy

The new Solvency II Directive (2009/138EC) which entered into effect on 1st January 2016 in the European Union (EU) has ushered in a new regulatory framework for the insurance industry. It aims to establish an enhanced risk-based approach to capital requirements for EU insurance and reinsurance undertakings (Firms), to improve internal control and risk management […]

An Overview of the Supervisory Review and Evaluation Process (SREP)

05/23/2016 ||By: Natasha

The Single Supervisory Mechanism (SSM) is a new banking supervision framework for the European Union (EU) that aims to ensure consistent supervision, increase financial integration and stability, and ensure the safety and soundness of the European banking system. Under the SSM, the European Central Bank (ECB) is responsible for supervision of financial institutions based in […]

The Top Five FATCA Challenges with Pre-Paid Cards, E-Money, and E-Wallets

05/13/2016 ||By: Joe Zepeda

Pre-paid cards, electronic money (e-money), and electronic wallets (e-wallets) pose numerous challenges for foreign financial institutions (FFIs) under the Foreign Account Tax Compliance Act (FATCA). Challenge 1 FFIs may not necessarily realise that they will all fall within the scope of the definition of financial account (depositary account) if cash is retained in credit. This […]

CoREP and FinREP

CoREP and FinREP Implementation Challenges – Part II

05/02/2016 ||By: Joe Zepeda

Read Part I here. The Capital Requirements Directive (2013/36/EU) and the Capital Requirements Regulation (575/2013) (CRD IV), together have ushered in new and comprehensive prudential rules for banks, building societies and investment firms (firms) throughout the European Union (EU). These prudential rules include two new reporting frameworks supervised by the European Banking Authority (EBA). The […]

CoREP and FinREP Implementation Challenges – Part I

04/15/2016 ||By: Joe Zepeda

The Capital Requirements Directive (2013/36/EU) and the Capital Requirements Regulation (575/2013) (CRD IV), together have ushered in new and comprehensive prudential rules for banks, building societies and investment firms (firms) throughout the European Union (EU). These prudential rules include two new reporting frameworks supervised by the European Banking Authority (EBA). The Financial Reporting Standard (FinREP) […]

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