Cyber risk for financial firms is about to get a lot more regulated. Announcing its most recent Regulatory Flex Agenda......
ESG investing is at the forefront of the industry and with ESG-related regulations coming soon, having a streamlined ESG strategy in place is key for ...
By Victoria Olson, CRCP, Senior Consultant Compliance Services Reading enforcement actions against investment advisers serves two purposes for me: (1)...
The EU’s comprehensive sustainable finance action plan aims to mandate that companies integrate sustainability risks into their investment managemen...
ESG investing is still evolving and will continue to do so for years to come. As part of that evolution, ESG frameworks are emerging to standardize th...
Time is running out to comply with the European Union’s (EU) new Packaged Retail and Insurance-based Investment Products (PRIIPs) reporting requirem...
Download our latest whitepaper to learn about key challenges of PRIIPs KID, best practices and end-to-end capabilities needed to meet the requirements...
With the ever-changing regulations and the strain they place on internal resources, it is increasingly important that firms have a......
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......
Following an evaluation made by the CME Group, they have come to the decision to wind down the Abide Financial,…
Easy Pickings But Maybe Also Warnings of Valuation Expectations Even With COVID-19 Difficulties Now that we are nearly into…
Investment managers are subject to hundreds of threshold reporting rules throughout Europe, for long holdings, short selling, and dealing disclosures….
We help you prepare by tackling a number of key issues: How will the SEC and FINRA assess your Reg…
The following RegTech Radar update focuses on recent changes in Japan’s Foreign Exchange and Foreign Trade Act (FEFTA) and additional…
We have learned of a potentially major change for New York state and federally covered investment advisers. The New York…
Recently, the SEC settled with a private equity adviser for failing to adequately disclose and obtain consent for conflicts of…
We don’t know when, but at some point we will have to put on shoes, get a haircut and return…
It has been 50 years since the SEC last addressed valuation practices for funds registered under the Investment Company Act…
On March 27, ESMA published a consultation on changes to the technical standards of trade reporting under the EMIR Refit…
The SEC today issued Risk Alerts identifying areas related to Form CRS and Regulation BI on which examiners will focus…
We understand that COVID-19 has brought many stresses, both personal and professional. To many private fund advisers, this may seem…