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......
On Friday, December 8, 2017, the SEC issued a Temporary Rule that provides a nine-month delay of the filing dates…
In a recent whitepaper we published on SEC Reporting Modernization, we talked about how “timely, accurate, complete and consistent data are required for Forms…
On December 6, 2017, FINRA did something it has never done before: It released a summary report of its examination…
It’s clear to me that firms that have adopted a strategic approach in their response to regulation tend to view…
Stopping, or even slowing, the proliferation of cyber-event related criminal activities remains a chief goal in the broker-dealer and…
Following the Department of Labor’s November 27, 2017 announcement of an 18-month extension to the existing Fiduciary Rule transition period,…
November’s Compliance Cast will look at the Adviser/Sub-adviser relationship, from the standpoint of sub-adviser. During the session, we will discuss:…
Do I need to file a 13D or 13G if my client accounts hold in excess of 5% of an…
Given the dramatic impending changes in regulatory reporting requirements for asset management firms, their chief operating officers, administrators and compliance…
The SEC’s Custody Rule continues to be a common source of confusion and a landmine for noncompliance. Custodial paperwork has…
Some industry anxiety was assuaged on October 26 with three no-action letters that offer relief for some US regulated broker-dealers and…
A year ago, the SEC adopted Investment Company Reporting Modernization Rules and Forms, as well as rules pertaining to liquidity risk…