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New in RegTech: Navigating Form PF, Outsourcing CCOs, and Preparing for FinCEN’s AML Rule
For those grappling with the SEC’s significant Form PF overhaul, the clock is ticking towards March 2025.
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Navigating 13f-2 Reporting: Expert Insight and Strategic Approaches
11-12 September 2024 Zurich, Switzerland Join Us for an Exclusive Event: Sustainable Finance – Innovations, Reliability & Challenges for AI In today’s rapidly evolving financial landscape, sustainability is not just a buzzword but a crucial pillar for long-term...
Prioritizing Form PF – Before It’s Too Late
11-12 September 2024 Zurich, Switzerland Join Us for an Exclusive Event: Sustainable Finance – Innovations, Reliability & Challenges for AI In today’s rapidly evolving financial landscape, sustainability is not just a buzzword but a crucial pillar for long-term...
Vlog 2: Position Limits: Finding the Spot Effective Period
Form PF Overhaul: Are You Ready for the Biggest Changes Yet?
The Securities and Exchange Commission's (SEC) third set of Form PF amendments in the past 12 months-arguably the most substantial yet-is set to significantly impact all filers, with large hedge funds expected to bear the brunt of these changes. What will this mean...
Series: Form PF Amendments – Sections 1 & 2
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All RegTech Reports
New in RegTech: Navigating Form PF, Outsourcing CCOs, and Preparing for FinCEN’s AML Rule
For those grappling with the SEC’s significant Form PF overhaul, the clock is ticking towards March 2025.
RegTech Report: Tip of the Iceberg: Lurking below new rules on U.S. threshold disclosures is a much bigger global challenge
Tip of the Iceberg: Lurking below new rules on U.S. threshold disclosures is a much bigger global challenge
New in RegTech: Checking in with AIFMD II in Europe; Sustainable fund names in the EU: ESMA guidance; The SEC’s new Names Rule for funds; European Central Bank increases reporting on investment fund statistics
Checking in with AIFMD II in Europe Sustainable fund names in the EU: ESMA guidance The SEC’s new Names Rule for funds European Central Bank increases reporting on investment fund statistics
New in RegTech: Enhanced transaction reporting leans on tech, Proposed customer ID rules for US advisers, ESG reporting changes in Europe & Latest US adviser compliance tips
Enhanced transaction reporting leans on tech
Proposed customer ID rules for US advisers
ESG reporting changes in Europe
Latest US adviser compliance tips
SPECIAL EDITION: RegTech Report: U.S. Supreme Court Checks Regulator Power
Welcome to our Special Edition on the U.S. Supreme Court’s recent landmark set of rulings impacting the SEC and other federal agencies.
SEC Marketing Rule Risk Alert, Private Funds Rule Verdict, & UK General Election Impact
In April the SEC’s Division of Examinations released its Risk Alert “Initial Observations Regarding Advisers Act Marketing Rule Compliance” (suggesting with the term “initial” that more risk alerts are to come, which the industry would welcome).
Private Fund Adviser Reforms, EU Due Diligence Directive, & Form PF Changes
With summer already around the corner, that gone-too-soon season is now the only thing separating fund advisers from a major compliance date under the SEC’s Private Fund Adviser Reforms.
Enhanced EMIR Reporting and T+1 Settlement
In the Fall of 2009 in Pittsburgh, Pennsylvania, G20 leaders revamped financial regulation in Europe and elsewhere, in the wake of the global financial crisis.
ALL SEC EDITION: Climate Disclosure Rule; What a Trump Victory Would Mean for the SEC Agenda
Making headline news in ESG regulation, the SEC on March 6th adopted its Final Rule for climate-related reporting by issuers.
New in RegTech: Checking in with AIFMD II; Sustainable finance; Investment monitoring changes in the UK; SEC’s new private fund rules
As we reported in our December edition, the final compromise text for “AIFMD II” was published in November 2023, ready for the European Parliament to consider.
New in RegTech: January 2024: ESG requirements keep coming; EU investor portal moves forward; Position limits; Europe: update on ECB reporting and MMFR
Commensurate with the urgency of the global climate crisis, ESG continues to occupy much of the regulatory calendar.
New in RegTech: December 2023: Private funds regulation; the SEC’s new reporting rules for shareholders; upcoming deadlines for ESG reporting by financial firms; checking in with AI.
Compliance deadlines for the SEC’s new private funds reporting requirements are already upon us.
New in RegTech: November 2023: ESG Reporting Update: Waiting for the Other Shoe to Drop
The global investment community awaits significant changes to ESG regulation, across many areas.