Insights

January 27, 2022

Ahead of the impending change to the European short selling reporting threshold from 0.2% to 0.1% on the 31 January 2022, ESMA has reminded firms on reporting positions of more than 0.1% held over the transition period. Learn more about the changes:

January 20, 2022

A guide that addresses what you should know, and what you should do to protect your firm, your clients, and your finances.

January 19, 2022

We've put together a printable calendar with key FINRA regulatory filing deadlines in addition to national holidays at a glance.

January 13, 2022

On 26 November 2021, the FCA published its third and final Policy Statement, PS21/17, on the new Investment Firm Prudential Regime (IFPR), which subsequently came into force on 1 January 2022. The new prudential rules introduce more complex and onerous disclosure requirements for affected firms. Here we examine what these new obligations mean for MIFIDPRU firms.

January 12, 2022

The SEC staff provided additional time for firms to comply with the amendments to Rule 15c2-11 in a no-action letter published in December, 2021.

January 10, 2022

FTC Amends Gramm-Leach-Bliley Act ‘Safeguards Rule’ to Strengthen the Data Security of Financial Institutions

January 07, 2022

The FCA published Policy Statement PS 21/20 on Changes to UK MiFID’s conduct and organisational requirements on 30 November 2021, confirming the FCA’s proposals as set out in Consultation Paper CP 21/9.

January 07, 2022

Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from January through March 2022.

December 30, 2021

As we reflect on the past year, we wanted to take a moment to look back at our most popular articles from 2021.

December 28, 2021

As 2021 winds down and we prepare for the new year, we thought we would take a moment to look back at our most popular webcast topics of 2021.