March 19, 2020
The SEC has made several COVID-19 related announcements this week pertaining to investment managers that offer relief from routine regulatory…
Blog
March 19, 2020
The capacity of financial firms to comply with the upcoming go-live of SFTR reporting obligations has been critically compromised by…
March 13, 2020
The rapid expansion of the novel coronavirus and the COVID-19 pandemic has caused extreme stress if not panic throughout the…
March 10, 2020
The SEC continues to scrutinize principal and cross-trade transactions in the private fund world. Are such trades illegal? No. In…
February 27, 2020
While the SEC moved full force in adopting Regulation Best Interest and Form CRS, state regulators were fairly silent on…
February 12, 2020
Form CRS, the sleeping giant, awakens! Investment advisers and broker dealers are turning their attention to planning for Form CRS,…
January 31, 2020
On January 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its exam priorities for 2020 and reiterated…
January 29, 2020
As the June 30, 2020 compliance date for the SEC’s Regulation Best Interest (“Reg BI”) draws near, broker-dealers are scrambling…
January 28, 2020
In advance of National Data Privacy Day today, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE)…
January 25, 2020
The much-anticipated release of the Financial Industry Regulatory Authority, Inc. (“FINRA”) 2020 Risk Monitoring and Examination Priorities Letter occurred on…
January 23, 2020
No rest for the weary. With the new year upon us, our attention turns to new budgets, change and planning….
January 20, 2020
New York, 8 January 2020 – Global RegTech provider Compliance Solutions Strategies (CSS) today announces its release of Form CRS…