Regulatory Newsletter

A consultation by the ISSB (the International Sustainability Standards Board, launched in November at the UN’s COP26), on corporate sustainability…

To get a sense of possible regulations on the horizon, see ESMA’s recent statement on the outcome of its Call for Evidence issued in…

·       Confidential treatment requests for Form 13F (via EDGAR) ·       Applications for orders under the Investment Advisers Act of 1940 (via EDGAR)…

Take note that this month ESMA released an updated list of sanctions applicable to Short Selling Regulation violations, as well…

Our Greg Hotaling analyzes the SEC’s recent ESG related rulemaking here: https://cssregtech.com/2022/06/esg-disclosures-by-investment-firms-a-comprehensive-look-at-the-secs-proposal. 

If you are subject to EU rules, don’t miss the briefing ESMA issued last week for domestic regulators across the…

The Hong Kong Exchanges and Clearing Limited (HKEX) has issued a consultation paper on revising Position Limits and Large Open…

CSS awarded for its technology and service offerings which enable clients to take a proactive approach to cybersecurity risk management…

“A few days ago, the Securities and Futures Commission (SFC) in Hong Kong issued a consultation paper on proposed changes…

The FCA have indicated in a round table with trade associations a rough timeline for when they expect to issue…

Financial advisors and market participants take note: Last week the European Commission bundled and published revised RTSs detailing ESG disclosures…

Yesterday, ESMA published the Final Report on the Review of the SSR. There are three focal areas on the Report:…