FinTech Tag

Yesterday, ESMA published the Final Report on the Review of the SSR. There are three focal areas on the Report:…

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

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

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

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

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

In a recent settlement order, the SEC reminded the investment advisory community that the SEC remains vigilant in enforcing the…

The SEC’s December 17, 2021 Staff Statement Regarding Form CRS Disclosures essentially tells the industry that there are mistakes everywhere. The…

The RegTech space on the buy-side of the investment management industry has taken a little longer to mature than many…

What’s worked Back in April 2021, when the SolarWinds hack was publicly disclosed, much of the world discovered just how…

On November 9, 2021, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert (the “Alert”) based upon recent examinations…

On Monday, October 25, 2021, the Department of Labor (DOL) issued Field Assistance Bulletin No. 2021-02 that covers compensating advisers…