regulations Tag

Take note that this month ESMA released an updated list of sanctions applicable to Short Selling Regulation violations, as well…

The Bitcoin 2022 Conference, held in South Beach April 6-9, was very well attended with  upwards of 25,000 attendees, a…

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

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

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

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…

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…

For global investors, the accelerating pace of ESG regulatory developments portends a massive, additional layer of compliance obligations they will…

Investing in cryptocurrencies represents a relatively new alternative investment opportunity to diversify an investment portfolio to many investors. To registered…