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