Welcome to the third installment of Ropes & Gray’s European regulatory podcast for asset managers. These fortnightly podcasts and accompanying speaker notes are intended to provide an overview of updates relevant to GCs, CCOs and other compliance professionals to help you navigate both COVID-19 and other developments relevant to your business.
The speakers on today’s podcast are Eve Ellis, a partner in Ropes & Gary’s asset management group specialising in fund regulation, Rosemarie Paul, a partner in our litigation & enforcement group specialising in regulatory enforcement matters, and Jason Brown, a partner in our asset management group specialising in investment adviser regulation.
This update covers topics relating to market abuse, a recent SEC enforcement action relating to insider trading procedures, financial resilience, the Financial Conduct Authority’s (FCA) expectations of firms as we move towards a “new normal,” as well as AI, big data and a European Securities and Markets Association (ESMA) supervisory briefing on UCITS and AIF costs.
European Regulatory Update for Asset Managers: 8 June 2020