June 2, 2021
When the SEC set out to require registered investment advisers to implement a compliance program and designate a chief compliance…
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June 2, 2021
The Securities and Exchange Commission (SEC) published a report on Cybersecurity and Resiliency Observations and several risk alerts in which…
June 1, 2021
The UK government has extended the exemption for UCITS funds from the rules governing packaged retail investment and insurance-based products (PRIIPs)…
June 1, 2021
As cybersecurity continues to be the hottest topic right now with another data breach reported from the world’s largest meat…
June 1, 2021
On May 3, Investment News Magazine published an editorial titled “ESG Regulations in Europe map a clear path for the…
June 1, 2021
Commodity derivative investors: More big changes on the horizon for position limits in Europe. As we anticipated, we know the…
May 26, 2021
If there is one certainty about regulatory compliance, it is that nothing is static (isn’t that one of the things…
May 11, 2021
A large cyberattack on U.S. infrastructure – this time a ransomware attack that shut down the Colonial Pipeline – has…
May 5, 2021
The new Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940) is effective on May 4, 2021, starting…
May 3, 2021
ESMA has recently suggested to national regulators across the EU that they de-prioritize enforcement of MiFID II position limits on…
April 26, 2021
In recent years, investor awareness regarding environmental, social and governance issues (“ESG”) has grown and investors increasingly look for investments…
April 20, 2021
Jurisdictions are creating privacy laws with competing interests of protecting consumer data without unnecessarily impeding companies’ ability to do business…