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......
The CFTC imposed a $1.5 million fine on a major global food processor for position limit and related violations. See…
SEC charges three firms for cyber deficiencies when phishing attacks and credential stuffing resulted in the firms’ cloud-based email accounts…
ICYMI – ESMA has published new SFTR validation rules and an updated version of the ISO 20022 xml-schema applicable from…
On the 15 July 2021 an 8-week consultation was kicked off by The European Commission that closes on 9 September…
On Monday, August 23, 2021, the SEC released proposed changes to the technical specification of form N-PORT. Changes are part…
On August 12, the European Commission concludes its public feedback period, for a proposed lowering of the EU Short Selling…
On July 29, the US House Financial Services Committee voted to advance a new bill that would shorten the 13F…
FINRA releases a whitepaper exploring the current state of cloud computing in the financial services industry including key benefits achieved…
On July 21, 2021, the SEC’s Division of Examinations released a Risk Alert addressing their observations from examinations of investment…
Fresh off the plane from attending the DEF CON 29 hacker conference held at Paris and Bally’s hotels in Las…
Cyprus Securities and Exchange Commission (the ‘CySEC’) reminding AIFMs to ensure compliance with their reporting obligations under the AIFMD. Read…
How are you getting paid? That is the question that the SEC is focused on in recent regulatory examinations of…