June 25, 2020
For ERISA plan fiduciaries who thought they were being responsible and addressing participants’ demands by including investments in employee retirement…
Blog
June 24, 2020
FINRA recently deployed a new security feature for users of the Web CRD and IARD systems which is being rolled…
June 24, 2020
Financial institutions are down to one week left to update their privacy notices and privacy practices in order to comply…
June 3, 2020
Since the outbreak of the COVID-19 pandemic and the resulting lockdown of Wuhan, China on 23 January 2020, world markets…
June 2, 2020
Among the hundreds of threshold reporting rules throughout Europe that affect investment managers, a significant number apply to long or…
May 29, 2020
Recently, the SEC announced the settlement of an enforcement case against Morgan Stanley Smith Barney (MSSB) involving charges that MSSB…
May 28, 2020
Following an evaluation made by the CME Group, they have come to the decision to wind down the Abide Financial,…
May 27, 2020
Easy Pickings But Maybe Also Warnings of Valuation Expectations Even With COVID-19 Difficulties Now that we are nearly into…
May 27, 2020
Investment managers are subject to hundreds of threshold reporting rules throughout Europe, for long holdings, short selling, and dealing disclosures….
May 20, 2020
The following RegTech Radar update focuses on recent changes in Japan’s Foreign Exchange and Foreign Trade Act (FEFTA) and additional…
May 12, 2020
We have learned of a potentially major change for New York state and federally covered investment advisers. The New York…
April 30, 2020
Recently, the SEC settled with a private equity adviser for failing to adequately disclose and obtain consent for conflicts of…