July 16, 2021 13F and 13D – Changes on the Horizon? Chair Gensler has been beating a drum signaling that changes to the U.S. transparency regimes are likely. In prepared remarks…
July 15, 2021 Pete Driscoll to Leave the SEC Examinations Division; Dan Kahl to be Acting Director The SEC announced that Peter Driscoll, the Director of the Division of Examinations, will leave the SEC on August 14,…
July 14, 2021 EMIR REFIT Update from ESMA Today, ESMA released a consultation paper on EMIR REFIT Reporting Guidelines. The consultation paper includes draft guidelines on topics relating…
July 13, 2021 AIFMD Filings Update for The Netherlands AIFMD filings to The Netherlands are to be submitted through the AFM Portal as per July 1, 2021, replacing the…
July 9, 2021 EU Further Delays SFDR Level 2 for Asset Managers The EU has delayed the SFDR Level 2 requirements by six months to July 2022. John Berrigan, head of the…
July 1, 2021 UK Suggests More Pronounced Split From EU Financial Services Rules, Post-Brexit Today the Chancellor of the Exchequer, Rishi Sunak, stated in a speech in London: “[O]ur ambition had been to reach…
June 24, 2021 ESMA Upcoming Milestones Financial entities affected by EU law: Take note of ESMA’s handy summary of upcoming deadlines for submitting consultation feedback. Check…
June 24, 2021 SEC Adopts the Changes in the Technical Specifications of Form N-CEN On Monday, June 21, 2021, SEC adopted the changes in the Technical Specifications of the form N-CEN. All changes are…
June 21, 2021 Problems with PRIIPs KIDs On Thursday 17 June 2021, the Belgian regulator (FSMA) issued a feedback statement (here) to PRIIPs manufacturers and distributors in…
June 14, 2021 Colorado Passes Privacy Act The Colorado Legislature recently strengthened personal data privacy rights with the passing of the Colorado Privacy Act (Bill SB21-190), becoming…
June 14, 2021 SEC Publishes Regulatory Agenda The SEC has proposed a busy regulatory agenda. Among the topics listed are: ESG (proposal stage) Cybersecurity risk disclosure (proposal…
June 10, 2021 New Gartner Report on the State of Privacy Regulations Gartner predicts that by 2023, 65% of the global population will be covered by privacy regulations and by 2024, over…