Februar 11, 2019
After a number of firms struggled last year to get their marketing and information systems into compliance with the EU’s…
CSS Videos
Coffee & Regs TV - What's Next for Compliance in 2022
Coffee & Regs TV - Investment Monitoring Rewind & 2022 Preview
PRIIPs Predictions in 2022
Coffee & Regs TV - What's Next for Cybersecurity in 2022
Coffee and Regs TV - Shareholding Disclosure Rules for Managed Holdings
Coffee & Regs TV - The Latest on the PRIIPs Delay
Coffee & Regs TV - Insights into SEC Examinations
Coffee & Regs TV - Digital Assets_ Trading & Compliance for Cryptocurrency
SEC Insights on ESG
Coffee & Regs TV – What's Next for the EU SFDR Level 2
Coffee & Regs TV - The PRIIPs RTS
Coffee & Regs TV - ESG FAQs Part 2
Coffee & Regs TV - ESG FAQs Part 1
ESG
Zulassungsvorlagen
Regulatory Book of Record (RBOR)
Meldewesen
Document Production & Distribution
Coffee & Regs TV - USA Position Limits - Too Many Options
Coffee & Regs TV - Coal, Steel, ESMA and You - An EU Law Primer
Coffee & Regs TV - The Future of Data Privacy Regulations
Coffee & Regs TV - The Mood of Compliance
Coffee & Regs TV - What's Next for Cybersecurity in 2022
Abonnieren
Subscribe today and receive our latest industry updates and articles.
You may unsubscribe at anytime with our simple “unsubscribe” link at the bottom of each communication. Please see our privacy notices below for further information, including a list of affiliates covered by this consent.
Februar 8, 2019
The European Union’s Money Market Funds Regulation (MMFR) applies to any Money Market Fund (MMF) that is authorized as a…
Januar 28, 2019
SEC Chairman Jay Clayton announced on Saturday, January 26 that with an agreement reached to end the government shutdown, the “Commission…
Januar 25, 2019
FINRA first introduced enhancements to the Central Registration Depository (“CRD”) on October 1, 2018, which were rolled out in support…
Januar 16, 2019
On 10 January 2019, the European Commission (EC) published a report on the operation of the Alternative Investment Fund Managers…
Januar 7, 2019
The SEC’s most recent risk alert, “Observations from Investment Adviser Examinations Relating to Electronic Messaging,” issued on December 14, 2019,…
Dezember 21, 2018
Well ahead of the New Year, the SEC Office of Compliance Inspections and Examinations (OCIE) announced its 2019 examination priorities….
Dezember 19, 2018
We are proud to announce that Compliance Solutions Strategies has been shortlisted in two categories for the HFM US Hedge…
Dezember 13, 2018
After several delays earlier this year, the European Commission has finally approved the draft technical standard (RTS) for SFTR. The…
Dezember 4, 2018
From the top of the world, it’s amazing what you can see. I recently had the opportunity to travel to…
November 26, 2018
Identifying the strategic need for the implementation of an integration hub for financial transactions, positions and securities.
November 19, 2018
Securities Financing Transactions Regulation (SFTR) requirements are expected to be adopted by the European Commission (EC) by Q1 2019. Prior to finalisation, the EC and the European Securities and Markets Authority (ESMA) must resolve some differences over the SFTR level 2 Regulatory Technical Standards (RTS), but no further material changes are expected.