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Jurisdictions are creating privacy laws with competing interests of protecting consumer data without unnecessarily impeding companies’ ability to do business…

On 30 March 2021, ESMA published the final report on the back of the consultation paper from 24 September regarding…

Many state and local government pension funds use third-party investment advisers to manage assets within their pension plans. Pension fund…

On March 3, 2021, the SEC’s Division of Examinations (“Division”) released their examination priorities (“Release”) for 2021. The Release represents…

Peter Driscoll, Director of the SEC’s Division of Examinations, told attendees at the Investment Adviser Association meeting March 4, 2021…

The Securities and Exchange Commission has released its 2021 Examination Priorities a little later this year than in years past,…

On March 5, 2021, the new Marketing Rule for SEC registered RIAs was published in the Federal Register. The effective date…

It’s almost mid-February, and we’ve come out of the January haze. Now we have a bit more information on where…

The ESAs (the trinity of the ECB, EIOPA & ESMA) relented to pressure from the EU Commission to submit the…

The investment fund industry is eagerly awaiting the result of a new vote in EIOPA on Level 2 changes for…

The Big Short. Or Long.  Whatever your strategy, the drama currently being played out between hedge funds and retail investors —…

First, a bit of background: On December 2, 2020 the New York State Department of Law adopted new regulations, to…