The CFTC recently issued a Request for Information, asking the public how the CFTC should consider climate risk in its......
On May 25th the SEC proposed an ESG disclosure framework for investment advisers and funds, examined in detail below. With......
The Bitcoin 2022 Conference, held in South Beach April 6-9, was very well attended with upwards of 25,000 attendees, a......
The “Technoking and Chief Executive Officer of Tesla”, who on March 14th surpassed a 5% ownership threshold in the social media ...
Recent rulemaking developments at the SEC indicate that, if 2021 was a year in which it revealed its intentions about......
Large Corporates and Financial Firms Face a New Breed of ESG Regulation under the EU’s Corporate Sustainability Due Diligence Directive......
During its examinations of advisers and funds, the Securities and Exchange Commission has observed a lack of cyber preparedness, determining......
On January 26, 2022, the SEC proposed amendments to Form PF to enhance the ability of the Financial Stability Oversight......
To state the obvious, the EU’s Sustainable Finance Disclosure Regulation (SFDR) has received immense attention from the financial sector in......
Release No. Date Details First Quarter 33-11028 Feb. 10, 2022 Modernization of Beneficial Ownership ReportingFile No: S7-06-22Other Release No: 34-942...
On January 27, 2022, the SEC’s Division of Examinations (the “Division”) published a second risk alert for private fund advisers......
The following blog post was written by Jackie Hallihan, Executive Director of Compliance Services, and Matt Calabro, Director Institutional Services,....
In a recent settlement order, the SEC reminded the investment advisory community that the SEC remains vigilant in enforcing the......
The SEC’s December 17, 2021 Staff Statement Regarding Form CRS Disclosures essentially tells the industry that there are mistakes everywhere. T...
The RegTech space on the buy-side of the investment management industry has taken a little longer to mature than many......
CSS awarded for its technology and service offerings which enable clients to take a proactive approach to cybersecurity risk management…
Watch the Fireside Chat with Pete Driscoll, the Director of the SEC’s Office of Compliance Inspections (OCIE), followed by a…
CSS’s Regulatory Guidance experts discuss the latest global developments and how to take a more proactive and strategic approach to…
Combination Creates First Fully End-To-End Compliance Reporting Platform NEW YORK, September 10, 2020 – Compliance Solutions Strategies (“CSS”), a leading…
To get a sense of possible regulations on the horizon, see ESMA’s recent statement on the outcome of its Call for Evidence issued in…
· Confidential treatment requests for Form 13F (via EDGAR) · Applications for orders under the Investment Advisers Act of 1940 (via EDGAR)…
The CFTC recently issued a Request for Information, asking the public how the CFTC should consider climate risk in its…
Signifying Confluence’s commitment to increasing value to clients Pittsburgh, PA, and London, June 21, 2022 – Confluence Technologies, Inc.(Confluence), the global technology…
Take note that this month ESMA released an updated list of sanctions applicable to Short Selling Regulation violations, as well…
Our Greg Hotaling analyzes the SEC’s recent ESG related rulemaking here: https://cssregtech.com/2022/06/esg-disclosures-by-investment-firms-a-comprehensive-look-at-the-secs-proposal.
If you are subject to EU rules, don’t miss the briefing ESMA issued last week for domestic regulators across the…
On May 25th the SEC proposed an ESG disclosure framework for investment advisers and funds, examined in detail below. With…
The Hong Kong Exchanges and Clearing Limited (HKEX) has issued a consultation paper on revising Position Limits and Large Open…
CSS awarded for its technology and service offerings which enable clients to take a proactive approach to cybersecurity risk management…
“A few days ago, the Securities and Futures Commission (SFC) in Hong Kong issued a consultation paper on proposed changes…
The FCA have indicated in a round table with trade associations a rough timeline for when they expect to issue…