February 22, 2022
Financial market participants take note: in the EU, ESMA just posted a convenient timeline of ESG regulation effective dates (dated…
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February 22, 2022
To state the obvious, the EU’s Sustainable Finance Disclosure Regulation (SFDR) has received immense attention from the financial sector in…
February 11, 2022
Reduce 13D / 13G filing deadlines to 5 days Require annual cyber security plan reviews Require private fund advisers to…
February 11, 2022
Release No. Date Details First Quarter 33-11028 Feb. 10, 2022 Modernization of Beneficial Ownership ReportingFile No: S7-06-22Other Release No: 34-94211Comments…
February 11, 2022
SEC proposed certain amendments to modernize Beneficial Ownership Reporting (13D and 13G Rules). More specifically, SEC proposed: i) new shorter…
February 9, 2022
On January 27, 2022, the SEC’s Division of Examinations (the “Division”) published a second risk alert for private fund advisers…
January 7, 2022
The following blog post was written by Jackie Hallihan, Executive Director of Compliance Services, and Matt Calabro, Director Institutional Services,…
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…
December 17, 2021
A new Q&A on the PRIIPs KID has just been released from ESMA. View it here. Some key updates include:…