February 11, 2019
After a number of firms struggled last year to get their marketing and information systems into compliance with the EU’s…
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February 8, 2019
The European Union’s Money Market Funds Regulation (MMFR) applies to any Money Market Fund (MMF) that is authorized as a…
January 28, 2019
SEC Chairman Jay Clayton announced on Saturday, January 26 that with an agreement reached to end the government shutdown, the “Commission…
January 25, 2019
FINRA first introduced enhancements to the Central Registration Depository (“CRD”) on October 1, 2018, which were rolled out in support…
January 16, 2019
On 10 January 2019, the European Commission (EC) published a report on the operation of the Alternative Investment Fund Managers…
January 7, 2019
The SEC’s most recent risk alert, “Observations from Investment Adviser Examinations Relating to Electronic Messaging,” issued on December 14, 2019,…
December 21, 2018
Well ahead of the New Year, the SEC Office of Compliance Inspections and Examinations (OCIE) announced its 2019 examination priorities….
December 19, 2018
We are proud to announce that Compliance Solutions Strategies has been shortlisted in two categories for the HFM US Hedge…
December 13, 2018
After several delays earlier this year, the European Commission has finally approved the draft technical standard (RTS) for SFTR. The…
December 4, 2018
From the top of the world, it’s amazing what you can see. I recently had the opportunity to travel to…
November 26, 2018
Identifying the strategic need for the implementation of an integration hub for financial transactions, positions and securities.
November 19, 2018
Securities Financing Transactions Regulation (SFTR) requirements are expected to be adopted by the European Commission (EC) by Q1 2019. Prior to finalisation, the EC and the European Securities and Markets Authority (ESMA) must resolve some differences over the SFTR level 2 Regulatory Technical Standards (RTS), but no further material changes are expected.