December 17, 2021
As a follow up to our Coffee & Regs Podcast episode found here, we wanted to advise RIA that the…
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November 30, 2021
On November 9, 2021, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert (the “Alert”) based upon recent examinations…
November 29, 2021
Important ESG news for EU market participants: The European Commission, by letter to the EU Parliament and Council, has delayed…
November 22, 2021
On 22 November 2021, ESMA published its Final Report on its draft RTS relating to commodity derivatives under the MiFID…
November 19, 2021
On November 4, 2021, the SEC released a rule proposal that would modernize certain filings submitted via the Electronic Data…
November 12, 2021
In case you have not heard the news, Chair Gensler is focused on private fund advisers. The numbers may give…
November 9, 2021
Combination will establish a leading investment management software platform of unmatched global coverage Pittsburgh, PA, November 9, 2021 – Confluence Technologies,…
November 8, 2021
On Monday, October 25, 2021, the Department of Labor (DOL) issued Field Assistance Bulletin No. 2021-02 that covers compensating advisers…
November 4, 2021
Partnership brings a unique combination of local market presence and global regulatory compliance coverage to South Africa and Sub-Saharan Africa…
November 4, 2021
ESMA has recently published a document outlining updated validation rules for MiFIR Transaction Reporting. The changes are applicable from Q2…
November 3, 2021
Good news from the FCA Policy Statement where it was confirmed the proposed effective date for the proposed UK PRIIPs…
November 2, 2021
The FinDatEx TWG (Technical Working Group) for PRIIPs has published the proposed changes to the EPT template to account for…