Regulatory Newsletter

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…

Cyprus Securities and Exchange Commission (the ‘CySEC’) reminding AIFMs to ensure compliance with their reporting obligations under the AIFMD. Read…

The SEC twice reminded 27 RIAs and BDs to meet Form CRS requirements before starting enforcement actions. The firms have…

On July 20, 2021, the FCA published Consultation Paper CP21/23 to collate industry view points on proposed amendments to the…

ESMA has launched a consultation paper on RTS 1 and RTS 2 on MiFIR transparency requirements. The consultation paper covers…

ESMA released an updated version of Q&A on the Application of the AIFMD (europa.eu). There are 2 new items included,…