June 24, 2021
Financial entities affected by EU law: Take note of ESMA’s handy summary of upcoming deadlines for submitting consultation feedback. Check…
Blog
June 24, 2021
On Monday, June 21, 2021, SEC adopted the changes in the Technical Specifications of the form N-CEN. All changes are…
June 21, 2021
On Thursday 17 June 2021, the Belgian regulator (FSMA) issued a feedback statement (here) to PRIIPs manufacturers and distributors in…
June 21, 2021
A recent advancement in position limit compliance encapsulates the term “RegTech” quite well. Pre-trade monitoring – tracking orders before they…
June 17, 2021
We are witnessing the emergence of Bitcoin as a new (and growing) asset class among institutional investors – a rather…
June 15, 2021
Why should trade surveillance be a critical component of your compliance program? The short answer is that the devil is…
June 15, 2021
Position Limit Monitoring requires the regular sourcing of limits from exchanges and regulators to ensure that the most current limits…
June 14, 2021
The Colorado Legislature recently strengthened personal data privacy rights with the passing of the Colorado Privacy Act (Bill SB21-190), becoming…
June 14, 2021
The SEC has proposed a busy regulatory agenda. Among the topics listed are: ESG (proposal stage) Cybersecurity risk disclosure (proposal…
June 10, 2021
Gartner predicts that by 2023, 65% of the global population will be covered by privacy regulations and by 2024, over…
June 9, 2021
This year more than ever, it’s a time for renewal and optimism. As compliance professionals, we have completed our reviews…
June 8, 2021
CSS awarded for its technology and service offerings which enable clients to take a proactive approach to cybersecurity risk management…