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From settlement speeds to strategic supervision: Regulation in transition
November’s regulatory developments reflect a continued recalibration of global supervision—faster markets, evolving consumer protections, and continuing regulatory attention on operational resilience.
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Adapting to ECB’s New Reporting Standards: Are You Ready?
Redefining Retail Disclosures: How the FCA’s CCI Framework Impacts the Investment Landscape
The framework applies to a wide range of investment products, including: Open-ended funds (e.g. PRIIPs, UCITS, NURS, non-PRIIP packaged funds (excluding pensions) Closed-ended funds (e.g. Investment Companies, VCTs) Insurance-based Investment Products (IBIPs)...
SFDR in 2025: Fixes, Challenges, and What’s Next
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...
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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Reg reporting matures with the times: Key upcoming dates and changes in EU, UK & US markets
In recent editions, we detailed how political developments in the EU, the UK, and the US will impact the regulation of investment firms.
New in RegTech: Rule 13f-2 and Form PF Deadline Extensions; Redefining UK Retail Disclosures; Data Insights: Biodiversity, Ultra-long Bonds, Tariffs
On February 7, 2025, the SEC announced a temporary exemption from compliance with Rule 13f-2 and reporting on Form SHO, whereby institutional investment managers must disclose their short positions meeting certain thresholds
New in RegTech: Adapting to UK financial regulation in 2025: Key trends and challenges
As we near the close of January 2025, it’s an opportune moment to reflect on the regulatory landscape shaping the year ahead.
New in RegTech: What investment firms can expect in the EU, in 2025 and beyond
After last month’s edition on what investment firms can expect in the US’s new regulatory climate, let’s now turn to Europe.
New in RegTech: As Gensler Departs, Here’s What a Second Trump Term Means for Investment Firms
It’s no secret that the November 5th election of Donald Trump as President for a second term — buttressed by a Republican majority in both chambers of Congress – should bring major changes, including for regulation in the U.S. financial sector. How will this happen, and what should investment firms expect?
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