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Blog Archive

News, updates and analysis from around the world of compliance

April 28, 2021

Prepare Now for the SEC’s New Marketing Rule View the recent webinar: “Mastering the Marketing Rule…

In recent years, investor awareness regarding environmental, social and governance issues (“ESG”) has grown and investors increasingly look for investments…

On 30 March 2021, ESMA published the final report on the back of the consultation paper from 24 September regarding…

On March 3, 2021, the SEC’s Division of Examinations (“Division”) released their examination priorities (“Release”) for 2021. The Release represents…