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......
Regulators and legislators certainly have been busy in 2019, leaving little breathing room for financial firms. More data privacy laws…
I like to get to conferences early when I can. It lets me absorb the local environment, which often informs…
Last week we discussed the changes to the Massachusetts IA Disclosure Rule. That is not the only state legislature that…
The states continue to be busy with new rule-making! On June 14, 2019 the Massachusetts Securities Division (the ‘Division’) adopted…
The Securities and Exchange Commission (SEC) has for years stressed that registrants’ disclosure in regulatory filings needs to be written…
The Commodity Futures Trading Commission (CFTC) isn’t holding back when it comes to holding firms accountable for protecting their client’s…
Cybersecurity regulations have landed ashore on the islands, and life is about to become anything but a beach for firms…
On September 4, 2019, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued another risk…
At its August 21, 2019 Open Meeting, the Securities and Exchange Commission (“SEC”) voted 3-2 to issue guidance to assist…
Cyber regulations are changing with the speed of light, with the SEC, FINRA, CFTC, and NFA all issuing risk alerts…
We have been conducting roundtables and talking to industry leaders to help them identify the challenges that broker-dealers will face…
In order to pay federal taxes, many licensed, regulated, cannabis companies have to launder their cash. Why? Because banks will…