Equiniti’s Post

Ever wondered what ASX wants from your AGM? In this ASX Compliance Update, we offer a quick overview of the ASX's key regulatory concerns and expectations from their Listed@ASX update. With AGMs being crucial for governance and shareholder engagement, it's important to stay on top of these requirements. Let us provide you with the latest insights to ensure your next AGM runs smoothly and meets all ASX compliance standards! Hamish George Michael Austin #ASXCompliance #AGMPrep #Governance #ShareholderEngagement #Bio101 #CorporateGovernance #ASXRegulations #ComplianceUpdate #BoardMeetings #CompanySecretary

Did you know? Cross-border fund distribution model is complex due to regulatory fragmentation in the EU, experts said.  Should ESMA upgrades itself from a body that coordinates national regulators into the single common regulator for all EU securities markets ? Do you have the appropriate fund distribution strategy model ? Please put your view in comments. Please consult. Carne Group #funddistributionstrategy #CMU #assetmanagement #fundregistration #CarneSelect #CarneConsulting #marketingcommunication

Stay up to date with all things IQ-EQ and industry focused! Sign up to our tailored insights, including sector trends and regulatory updates. Click here now: https://ow.ly/z0qB50Qfp97 #oneiqeq #updates #news #fundassetmanagers #private #institutional #assetowners #debt #capitalmarkets #corporate

The Q3 edition of our GRS Market Update is now available covering a variety of topics effecting the cross-border marketing of fund products in key regions. A number of notable topics as noted below. Feel free to get in touch if you would like any further information. #crossBorderMarketing #fundMarketing #UCITS #AIF #investmentFunds

A #comparativeanalysis of the #esg impact of #paymentinstruments > By Lipis Advisors, and “European Automated Clearing House Association “ EACHA

I had a valuable experience moderating the webinar on "Navigating OTC Markets: A Pathway to Capital for Global Issuers." The objective of this webinar session was to provide market participants and potential issuers with comprehensive information about the OTC Markets Group, including the application process and trading requirements for overseas issuers. A special thanks to Mr. Stephen Shipley for sharing such an informative and insightful presentation with us! Financial Regulatory Commission of Mongolia #CapitalMarkets #OTCMarkets

https://lnkd.in/ehv5pKjx | Our Global Registration Services team has published its latest market update on global developments affecting the cross-border marketing and distribution of investment funds. Key developments this quarter include: • UK: The Publication of OFR How-to-Guides and Other OFR Guidance Documents / Information by the FCA • Ireland: A New Submission Process for Cross-Border Marketing Notifications and De-notifications with the CBI • Germany: The Abolition of the Requirement of Pre-payment of UCITS and AIFs Cross-Border Marketing Notification and De-notification Fees to the BaFin • Norway: The Entry into Force of the PRIIPs Regulation and CBDF Directive • Argentina: The Establishment of a Regulatory Framework for the Private Offering of Securities #GRS #InvestmentFunds

[UCITS & AIFMD LUXEMBOURG 2024] Tomorrow, our Fund Distribution and Regulatory Consulting Partner Rafael Aguilera will be part of the first panel discussion of the UCITS & AIFMD Luxembourg 2024 conference. Along with other prominent speakers he will discuss the key local and EU regulatory updates impacting asset managers. To find out more about the agenda, please have a look at the link below 👇 https://lnkd.in/eDJWx4UQ  👉 Follow #BDOLuxembourg #regulatory #AIFMD2

Key Points: SEBI’s New Risk-o-meter Color Scheme & Disclosure Norms: Essential Guide for NISM 5A Mutual Fund Distributors Exams https://lnkd.in/dEECUSvY

Although the headline is a bit "quirky", the message is clear. Since GFC the regulatory architecture created, is not tailored towards growth. It is designed to prevent the financial sector to impact the economy negatively. Protect the market, the investor, the consumer. And that is a good thing. But the financial sector is not something established to harm people, it is there to finance the economy. That part seems to be a bit lost, and a better balance should be found. The bureaucracy and complicated legal framework is holding Europe back compared to other markets. (Working within Risk and Compliance, this of course keeps us employed and busy. And I am sure consultancy firms are preparing their Xmas cards for the supervisory authorities as we speak.)