On 23rd June 2022, the Securities and Exchange Commission (SEC) adopted amendments to modernize Form 13F and enhance the information provided. The amendments are intended to promote efficiency, transparency, and operational resiliency by modernizing how information is filed or submitted to the Commission and disclosed to the public.
Which US markets are now considered equivalent to EU regulated markets? The European Commission has adopted a decision declaring that a number of United States exchanges supervised by the US…
On the 26th January 2022, the Securities and Exchange Commission (SEC) voted to propose amendments to Form PF.
The proposed amendments would apply to large hedge fund advisers, private equity advisers, and large liquidity fund advisers. The proposals are designed to enhance FSOC’s ability to monitor systemic risk, bolster the Commission’s regulatory oversight of private fund advisers, and enhance investor protection efforts.
Of all the new regulations we have seen over the last few years, few have raised as many concerns, or have been as controversial and polarising as the KID requirements under the regulation for Packaged Retail and Insurance-based Investment Products (PRIIPs).
It’s been a busy couple of months for the Swedish Supervisory Authority (Finansinspektionen) – so far in 2021, they have issued fines totaling SEK 20,390,500 (USD 2,462,174) for shareholder disclosure…
Earlier this month the Securities and Exchange Commission (SEC) published a request for public comment on potential reform measures to improve the resilience of money market funds. The request follows the report of the President’s Working Group on Financial Markets issued in December 2020.
UCITS IV requires UCITS to make an updated KIID available to investors for each sub-fund/standalone fund within 35 business days of 31 December each year. With the deadline fast approaching…
Key questions when conducting your UCITS Eligible Markets due diligence Following the end of the transition period, on the 1st January 2021, COLL 5.2.10 was updated to include the “United…
Throughout the year regulators have focused on liquidity, and as this year draws to a close, that focus shows no signs of diminishing. “Asset managers need to step up their…