April 15, 2021
On 30 March 2021, ESMA published the final report on the back of the consultation paper from 24 September regarding…
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April 6, 2021
Many state and local government pension funds use third-party investment advisers to manage assets within their pension plans. Pension fund…
März 29, 2021
On March 3, 2021, the SEC’s Division of Examinations (“Division”) released their examination priorities (“Release”) for 2021. The Release represents…
März 25, 2021
Peter Driscoll, Director of the SEC’s Division of Examinations, told attendees at the Investment Adviser Association meeting March 4, 2021…
März 22, 2021
The Securities and Exchange Commission has released its 2021 Examination Priorities a little later this year than in years past,…
März 11, 2021
On March 5, 2021, the new Marketing Rule for SEC registered RIAs was published in the Federal Register. The effective date…
Februar 11, 2021
It’s almost mid-February, and we’ve come out of the January haze. Now we have a bit more information on where…
Februar 4, 2021
The ESAs (the trinity of the ECB, EIOPA & ESMA) relented to pressure from the EU Commission to submit the…
Februar 3, 2021
The investment fund industry is eagerly awaiting the result of a new vote in EIOPA on Level 2 changes for…
Januar 29, 2021
The Big Short. Or Long. Whatever your strategy, the drama currently being played out between hedge funds and retail investors —…
Januar 25, 2021
First, a bit of background: On December 2, 2020 the New York State Department of Law adopted new regulations, to…
Januar 5, 2021
2021 marks the second consecutive year CSS has been awarded for itsinnovative regulatory compliance technology and services NEW YORK, January…