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