Regulatory Newsletter

On March 28th, 2022, ESMA published its Final Report on the EU Carbon Market (ESMA, “Final Report on Emission allowances…

Earlier this week, it was announced that a bill will be introduced by year-end in New Zealand to increase the…

Today the SEC proposed rules to enhance climate-related disclosures, modeled in part on the widely used recommendations of the FSB’s…

For ESG investment managers with Australian products in their portfolios, ASIC notes the following about what lies ahead. Acknowledging that…

Background read – in case you missed it: Investment compliance offices might take note of proposed regulatory changes that would…

SEC proposed new Rule 13f-2 and amendments to Regulation SHO and CAT to increase market transparency regarding short selling, in…

Financial market participants take note: in the EU, ESMA just posted a convenient timeline of ESG regulation effective dates (dated…

Reduce 13D / 13G filing deadlines to 5 days Require annual cyber security plan reviews Require private fund advisers to…

SEC proposed certain amendments to modernize Beneficial Ownership Reporting (13D and 13G Rules). More specifically, SEC proposed: i) new shorter…

A new Q&A on the PRIIPs KID has just been released from ESMA. View it here. Some key updates include:…

As a follow up to our Coffee & Regs Podcast episode found here, we wanted to advise RIA that the…

Important ESG news for EU market participants: The European Commission, by letter to the EU Parliament and Council, has delayed…