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Caroline Herkströter

In this edition of Regulation Around the World we review the position regarding beneficial ownership registers which has come into the spotlight following work by the Financial Action Task Force and the introduction of reforms in a number of jurisdictions. Identifying beneficial owners has always been a difficult task for both regulators and financial institutions

We have now updated our two guides on the Alternative Investment Fund Managers Directive (AIFMD), which has now been in force for approximately nine years. Both guides are now in their fifth iteration.

The first guide considers whether the AIFMD marketing passport is working in practice and is a useful tool for managers

In the second in our global series of regulatory podcasts focusing on conduct issues, financial services partners from Australia, Hong Kong, Luxembourg, Germany, United Kingdom and the United States consider the cross border distribution of funds by focussing on the following five topics:

  1. What trends or industry developments are you seeing in your jurisdiction as

Institutional investors collaborate with each other when communicating with investee companies’ management regarding, for example, ESG matters. Such shareholder collaboration leads to challenges in multiple legal areas. Minimising such legal risk is key.

NRF’s Shareholder Collaboration Tool allows Institutional investors to confidently collaborate, while reducing the burden on legal teams to manage the associated risks.

Against the backdrop of recent turmoil in the crypto market and with increasing regulatory scrutiny in this area, understanding the regulators’ approach to investigations and enforcement and how best to avoid the common pitfalls is even more of a priority.

In the latest webinar of our financial services crypto series, members of our global financial

Tuesday, 7 June, 2022

08:00 – 09:00 BST / 11:00 – 12:00 GST / 15:00 – 16:00 HKT

11:00 – 12:00 EDT / 16:00 – 17:00 BST / 19:00 – 20:00 GST

In this webinar, members of our global financial services team will compare notes on their jurisdiction’s approach to crypto funds. The speakers will

On 10 June 2021, the Electronic Securities Act (Gesetz über elektronische WertpapiereeWpG) came into force. With the introduction of the eWpG, Germany has further opened up its securities laws for digital securities and bearer bonds (Inhaberschuldverschreibungen) and certain fund units (Fondsanteile) may now be issued as electronic

29 April 2021
09:00 – 10:00 BST / 16:00 – 17:00 HKT
16:00 – 17:00 BST / 11:00 – 12:00 EDT

As the global crypto-economy continues to grow and mature, one area stands out as a critical core capability: custody. In this webinar, members of our global financial services team will compare notes on their

On 16 February at 11am – 12pm CET our financial services team in Germany will be holding a webinar exploring the key implications of the end of the Brexit transition period for the payments sector in Germany.

In this webinar, presented in English, we will examine what the Brexit trade deal means for the payment

On 8 December 2020 at 9:30am to 10:30am (GMT) we are holding a webinar in English that will examine the BaFin’s proposed amendments to the “Minimum Requirements for Risk Management (Mindestanforderungen an das Risikomanagement, MaRisk)”, which, among other things, details outsourcing requirements in Germany. The webinar will also consider a new draft act that the