August 31, 2021 SEC Charges Firms for Cybersecurity Deficiencies SEC charges three firms for cyber deficiencies when phishing attacks and credential stuffing resulted in the firms’ cloud-based email accounts…
August 31, 2021 ESMA Publishes New SFTR Validation Rules ICYMI – ESMA has published new SFTR validation rules and an updated version of the ISO 20022 xml-schema applicable from…
August 27, 2021 PRIIPs and UCITS Update On the 15 July 2021 an 8-week consultation was kicked off by The European Commission that closes on 9 September…
August 26, 2021 Changes to the Technical Specification of Form N-PORT On Monday, August 23, 2021, the SEC released proposed changes to the technical specification of form N-PORT. Changes are part…
August 18, 2021 EU Short Selling Regulation’s Disclosure Threshold On August 12, the European Commission concludes its public feedback period, for a proposed lowering of the EU Short Selling…
August 18, 2021 Bill to Shorten Window of 13F Filings On July 29, the US House Financial Services Committee voted to advance a new bill that would shorten the 13F…
August 18, 2021 FINRA Whitepaper on Cloud Computing FINRA releases a whitepaper exploring the current state of cloud computing in the financial services industry including key benefits achieved…
July 30, 2021 Cyprus Securities and Exchange Commission & AIFMD Cyprus Securities and Exchange Commission (the ‘CySEC’) reminding AIFMs to ensure compliance with their reporting obligations under the AIFMD. Read…
July 27, 2021 SEC Cracks Down on Form CRS The SEC twice reminded 27 RIAs and BDs to meet Form CRS requirements before starting enforcement actions. The firms have…
July 21, 2021 FCA Publishes UK PRIIPs Consultation Paper On July 20, 2021, the FCA published Consultation Paper CP21/23 to collate industry view points on proposed amendments to the…
July 20, 2021 ESMA Launches Consultation Paper on MiFIR Transparency Requirements ESMA has launched a consultation paper on RTS 1 and RTS 2 on MiFIR transparency requirements. The consultation paper covers…
July 20, 2021 Q&A on the Application of AIFMD ESMA released an updated version of Q&A on the Application of the AIFMD (europa.eu). There are 2 new items included,…