July 28, 2022 Global ESG reporting standards are settling, with final days of comment periods at hand A consultation by the ISSB (the International Sustainability Standards Board, launched in November at the UN’s COP26), on corporate sustainability…
June 29, 2022 For ESG ratings providers in the EU, those who use that information, and companies rated: To get a sense of possible regulations on the horizon, see ESMA’s recent statement on the outcome of its Call for Evidence issued in…
June 24, 2022 Investment managers and advisors subject to U.S. rules: Be aware that the SEC has finalized amendments to the following filings, providing for electronic submissions instead of paper filings: · Confidential treatment requests for Form 13F (via EDGAR) · Applications for orders under the Investment Advisers Act of 1940 (via EDGAR)…
June 21, 2022 For investors holding EU securities — the long and short of it Take note that this month ESMA released an updated list of sanctions applicable to Short Selling Regulation violations, as well…
June 21, 2022 ESG Disclosures by Investment Firms: A Comprehensive Look at the SEC’s Proposal Our Greg Hotaling analyzes the SEC’s recent ESG related rulemaking here: https://cssregtech.com/2022/06/esg-disclosures-by-investment-firms-a-comprehensive-look-at-the-secs-proposal.
June 21, 2022 To investment managers with sustainability features in their funds: If you are subject to EU rules, don’t miss the briefing ESMA issued last week for domestic regulators across the…
June 7, 2022 HKEX proposes the revision of position limits & Large Open Position (LOP) reporting requirements The Hong Kong Exchanges and Clearing Limited (HKEX) has issued a consultation paper on revising Position Limits and Large Open…
May 31, 2022 Compliance Solutions Strategies Named to CyberTech100 CSS awarded for its technology and service offerings which enable clients to take a proactive approach to cybersecurity risk management…
May 5, 2022 The Securities and Futures Commission (SFC) proposes changes to the position limit regime in Hong Kong “A few days ago, the Securities and Futures Commission (SFC) in Hong Kong issued a consultation paper on proposed changes…
April 29, 2022 The UK’s FCA shares a provisional timeline for UK EMIR Refit The FCA have indicated in a round table with trade associations a rough timeline for when they expect to issue…
April 13, 2022 European Commission revised RTSs detailing ESG disclosures Financial advisors and market participants take note: Last week the European Commission bundled and published revised RTSs detailing ESG disclosures…
April 5, 2022 Final Report on the Review of the SSR Yesterday, ESMA published the Final Report on the Review of the SSR. There are three focal areas on the Report:…