News & Analysis as of August 9, 2025

European Undertakings for Collective Investment in Transferable Securities

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ESMA publishes final report on 2023–2024 CSA on integration of sustainability risks and disclosures

A&O Shearman on 7/11/2025

The European Securities and Markets Authority (ESMA) has published its final report on the 2023-2024 common supervisory action (CSA) carried out with national competent authorities (NCAs)on the integration of sustainability...more

ESMA CSA on fund manager compliance and internal audit functions launched

A&O Shearman on 2/28/2025

The European Securities and Markets Authority (ESMA) has published a press release confirming the launch of a Common Supervisory Action (CSA) with national competent authorities on compliance...more

FCA Assesses Whether Fund Managers are Meeting Investor Expectations

Proskauer Rose LLP on 5/6/2016

On April 7, 2016, the United Kingdom (UK) Financial Conduct Authority (FCA) published a report (Thematic Review TR16/3: Meeting investors' expectations) (Report) containing its conclusions regarding a thematic review...more

U.S. SEC Proposes Liquidity Risk Management Programs, Optional “Swing Pricing,” and Liquidity Reporting for Mutual Funds and...

K&L Gates LLP on 10/26/2015

On September 22, 2015, the Securities and Exchange Commission (“SEC”) proposed a new rule and amendments to rules and reporting forms under the Investment Company Act of 1940 (the “1940 Act”), designed to standardize...more

UCITS V Directive—Overview and Practical Implications

K&L Gates LLP on 10/15/2015

Changes to the UCITS Directive (known as “UCITS V”) were published in the Official Journal of the European Union and came into force on 17 September 2014. EU Member States are required to transpose UCITS V into national law...more

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