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......
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......
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.
Earlier this year when the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its 2018 examination priorities, OCIE stated…
On October 31, OCIE issued a new Risk Alert for investment advisers with solicitor arrangements. The SEC periodically releases risk…
The Pennsylvania Department of Banking and Securities (PDOBS) has indicated in recent guidance two concerns related to investment advisers using…
Just a couple decades ago, our market infrastructure was dominated by only a handful of securities exchanges. Fast forward to the present day, and there are now 18 national securities exchanges registered with the Securities and Exchange Commission (SEC) under Section 6(a) of the Securities Exchange Act of 1934 (“Exchange Act”), 44 Alternative Trading Systems (ATS) and over 200 brokerdealers that internalize their customers’ trades.
If you were asked to describe a hacker, what image comes to mind? If you’re like most, you are probably picturing unintelligible text flying across a monitor as young men in black hoodies attempt to break into networks, engaging in a very technical dance and speaking in terms the average layperson would not understand.
All too often, we hear how another elderly investor was taken advantage of by some type of fraudster. Even more frequently, we receive queries from registered investment advisers (“RIAs”) asking what they can do about an elderly client they feel is being financially abused by a caregiver or who is suffering from diminished capacity challenges.
Many private fund advisers are wondering: How does the DOL Rule apply to my business? Why does it apply to my business?