Regulatory Newsletter

On the 15 July 2021 an 8-week consultation was kicked off by The European Commission that closes on 9 September…

FINRA releases a whitepaper exploring the current state of cloud computing in the financial services industry including key benefits achieved…

The SEC twice reminded 27 RIAs and BDs to meet Form CRS requirements before starting enforcement actions. The firms have…

ESMA released an updated version of Q&A on the Application of the AIFMD (europa.eu). There are 2 new items included,…


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