Author: Greg Hotaling

Global scientific consensus and domestic political interests compete for its attention The SEC’s forthcoming Final Rule, requiring climate-related disclosures by…

categorizing its approx. EUR 75 million in total revenue as well as 75 million in total expenses. The agency created…

COP27, the UN’s annual climate change conference held this year in Egypt from 6 to 18 November with about 100 heads of state in attendance…

“I am superior, sir, in many ways.  But I would gladly give it up to be human.”  – Data
It’s an observation made by the fictional lieutenant commander in the 1987 pilot episode of Star Trek – The Next Generation

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…

On May 25th the SEC proposed an ESG disclosure framework for investment advisers and funds, examined in detail below.  With…

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

The “Technoking and Chief Executive Officer of Tesla”, who on March 14th surpassed a 5% ownership threshold in the social media platform Twitter …