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After a number of firms struggled last year to get their marketing and information systems into compliance with the EU’s…
The European Union’s Money Market Funds Regulation (MMFR) applies to any Money Market Fund (MMF) that is authorized as a…
SEC Chairman Jay Clayton announced on Saturday, January 26 that with an agreement reached to end the government shutdown, the “Commission…
FINRA first introduced enhancements to the Central Registration Depository (“CRD”) on October 1, 2018, which were rolled out in support…
On 10 January 2019, the European Commission (EC) published a report on the operation of the Alternative Investment Fund Managers…
The SEC’s most recent risk alert, “Observations from Investment Adviser Examinations Relating to Electronic Messaging,” issued on December 14, 2019,…
Well ahead of the New Year, the SEC Office of Compliance Inspections and Examinations (OCIE) announced its 2019 examination priorities….
We are proud to announce that Compliance Solutions Strategies has been shortlisted in two categories for the HFM US Hedge…
After several delays earlier this year, the European Commission has finally approved the draft technical standard (RTS) for SFTR. The…
From the top of the world, it’s amazing what you can see. I recently had the opportunity to travel to…
Identifying the strategic need for the implementation of an integration hub for financial transactions, positions and securities.
Securities Financing Transactions Regulation (SFTR) requirements are expected to be adopted by the European Commission (EC) by Q1 2019. Prior to finalisation, the EC and the European Securities and Markets Authority (ESMA) must resolve some differences over the SFTR level 2 Regulatory Technical Standards (RTS), but no further material changes are expected.
