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By Victoria Olson, CRCP, Senior Consultant Compliance Services Reading enforcement actions against investment advisers serves two purposes for me: (1)…

The EU’s comprehensive sustainable finance action plan aims to mandate that companies integrate sustainability risks into their investment management and…

Time is running out to comply with the European Union’s (EU) new Packaged Retail and Insurance-based Investment Products (PRIIPs) reporting requirements, and adjust to new formats and content for preparing key investor documents (KIDs) by January 1, 2023.

With the ever-changing regulations and the strain they place on internal resources, it is increasingly important that firms have a…

The CFTC recently issued a Request for Information, asking the public how the CFTC should consider climate risk in its…

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

The Bitcoin 2022 Conference, held in South Beach April 6-9, was very well attended with  upwards of 25,000 attendees, a…

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

Recent rulemaking developments at the SEC indicate that, if 2021 was a year in which it revealed its intentions about…

Large Corporates and Financial Firms Face a New Breed of ESG Regulation under the EU’s Corporate Sustainability Due Diligence Directive…

During its examinations of advisers and funds, the Securities and Exchange Commission has observed a lack of cyber preparedness, determining…

On January 26, 2022, the SEC proposed amendments to Form PF to enhance the ability of the Financial Stability Oversight…