Events listed in Asset Management
Nachhaltigkeit bei Kapitalanlagen immer wichtiger
ID 21423
Der Gesamtverband der Versicherer (GDV) veröffentlicht eine Publikation mit dem Titel „Berücksichtigung von Nachhaltigkeit in der Kapitalanlage“. Diese bietet einen Leitfaden für die Berücksichtigung von Nachhaltigkeit bei Kapitalanlagen und erörtert verschiedene Ansätze je nach Größe und Situation des Versicherers sowie der Art der Anlage zur Anwendung von ESG-Kriterien bei Investitionen. Die Publikation beschreibt u.a. verschiedene Möglichkeiten der Integration von Umwelt-, ...
New consolidated version: Council Regulation (EU) 2017/1770 of 28 September 2017 ...
ID 21422
A new consolidated version of Council Regulation (EU) 2017/1770 regarding sanction measures „in view of the situation in Mali“ has been published in the Official Journal (OJ) of the EU. The regulation contains a framework for the sanctioning of persons, entities, or bodies that engage in „hostilities in violation of the Agreement on Peace and Reconciliation in Mali“, obstruct humanitarian aid in the country, ...
Portfolio letter: Wholesale brokers 2023 [pdf]
ID 21420
The Financial Conduct Authority (FCA) has published an open portfolio letter addressed at CEOs of wholesale brokers to summarize the key risks (of harm) the regulator has identified in connection with these firms and the markets they operate in and to outline its supervisory focus and expectations regarding the mitigation of these risks. According to the FCA, the key risks primarily concern the following: ...
Singapore fund managers upbeat about Asia financial market in 2023 driven by ...
ID 21418
The Investment Management Association of Singapore, IMAS, has published the findings from its recent annual survey conducted among fund managers and major fund management companies in Singapore on the outlook of the industry in 2023. In summary, Singapore fund managers expect a major economic recovery of the People’s Republic of China, but a continuing global recession with high levels of inflation and uncertain economic ...
Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to ...
ID 21417
The Monetary Authority of Singapore (MAS) has published an updated version of what it calls a Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to MAS for REIT Managers. The „toolkit“ provides guidance to managers or prospective managers of real estate investment trusts (REITSs) on (a) business matters for which a REIT must seek prior approval from MAS, (b) business matters for which ...
AML/CFT controls applied to TCSP activities by certain IFMs
ID 21415
On 11 January 2023, the Commission de Surveillance du Secteur Financier (CSSF) published a press release, informing about the result of anti money laundering / combating terrorist financing (AML/CFT) controls applied to Trust and Company Service Provider (TCSP) activities by certain investment fund managers (IFMs) from November 2021 to January 2022. Back on 20 July 2020, the CSSF published its first [**ML/TF sub-sector risk ...
Market Watch 72
ID 21414
The Financial Conduct Authority (FCA) has published a new edition of its Market Watch (No. 72). This latest version primarily deals with „the quality of service provided by Approved Publication Arrangements (APAs) and Approved Reporting Mechanisms (ARMs), collectively known as Data Reporting Services Providers (DRSPs)“. Specifically, the FCA has recently conducted a survey among DRSPs and their clients which primarily are investment firms using ...
MAS revises the Code of Corporate Governance to reflect independent director tenure ...
ID 21412
The Monetary Authority of Singapore (MAS) has published a press release to inform of revisions to the Code of Corporate Governance. The revisions follow recent changes in the listing rule of the Singapore Exchange which primarily tightened remuneration disclosure requirements of listed firms and limited the tenure of independent directors. Specifically, the Code was modified to – require the disclosure of the exact remuneration ...
[ESMA70-449-741] Compliance table on Guidelines on delay in the disclosure of ...
ID 21410
On 11 January 2023, the European Securities and Markets Authority (ESMA) has published a first version of the compliance table (ESMA70-449-741) for its „Market Abuse Regulation (MAR) Guidelines: Delay in the disclosure of inside information and interactions with prudential supervision“. To recall, these MAR Guidelines (ESMA70-159-4966) were published in April 2022 to take effect two months from then and „provide a non-exhaustive and indicative ...
New consolidated version: Council Regulation (EU) No 359/2011 of 12 April 2011 ...
ID 21409
A new consolidated version of Council Regulation (EU) No 359/2011 as regards „restrictive measures directed against certain persons, entities and bodies in view of the situation in Iran“ was published in the Official Journal (OJ) of the EU. The Regulation thereby contains amendments to its Annex I including a list of sanctioned individuals, firms, and bodies which were made by [Council Implementing Regulation (EU) ...