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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…

The UK and EU have finally agreed to terms on Brexit that will likely lead to ratification of an historically…

In late 2022, SEC registered investment advisers will be required to comply with new marketing and client solicitation rule-making, adopted…

SEC’s Office of Compliance Inspections and Examinations Cites Inadequate Compliance Programs On December 1, 2020, CSS hosted a discussion with…

ESG – the integration of environmental, social and governance considerations into the investment process – has claimed center stage in…

Since the compliance date of Form CRS over four months ago, the SEC has reviewed forms filed by registered investment…

It seems that the burden of work continues to increase for compliance professionals in the investment management industry. While also…

In this first installment on position limits, Regulatory Guidance expert Greg Hotaling surveys the current landscape of position limits imposed…