April 5, 2022
Yesterday, ESMA published the Final Report on the Review of the SSR. There are three focal areas on the Report:…
RegTech Tag
March 30, 2022
On March 28th, 2022, ESMA published its Final Report on the EU Carbon Market (ESMA, “Final Report on Emission allowances…
March 29, 2022
Recent rulemaking developments at the SEC indicate that, if 2021 was a year in which it revealed its intentions about…
March 25, 2022
Earlier this week, it was announced that a bill will be introduced by year-end in New Zealand to increase the…
March 17, 2022
Large Corporates and Financial Firms Face a New Breed of ESG Regulation under the EU’s Corporate Sustainability Due Diligence Directive…
March 9, 2022
Background read – in case you missed it: Investment compliance offices might take note of proposed regulatory changes that would…
February 25, 2022
During its examinations of advisers and funds, the Securities and Exchange Commission has observed a lack of cyber preparedness, determining…
February 22, 2022
On January 26, 2022, the SEC proposed amendments to Form PF to enhance the ability of the Financial Stability Oversight…
December 29, 2021
In a recent settlement order, the SEC reminded the investment advisory community that the SEC remains vigilant in enforcing the…
December 22, 2021
The SEC’s December 17, 2021 Staff Statement Regarding Form CRS Disclosures essentially tells the industry that there are mistakes everywhere. The…
December 22, 2021
The RegTech space on the buy-side of the investment management industry has taken a little longer to mature than many…
December 21, 2021
What’s worked Back in April 2021, when the SolarWinds hack was publicly disclosed, much of the world discovered just how…