Compliance

Advisers Should Think Twice About Taking the SEC Up on its ADV Filing Extension

Investment advisers should think twice before taking the Securities and Exchange Commission up on its offer of a deadline extension for filing their annual...

DTCC opens testing environment for SFTR

The Depository Trust & Clearing Corporation (DTCC) has announced it has opened the environment for pre-production testing for the upcoming Securities Financing Transaction Regulation (SFTR). Despite calls from...

FESE Urges European Exchanges Remain Open in Coronavirus Crisis

European exchanges will be impacted by the ongoing spread of coronavirus but must continue to operate as normal, the Federation of European Security Exchanges...

EU Watchdog ESMA Tightens Short-Selling Rules Amid “Serious Threat to Market Confidence”

The European Securities and Markets Authority, the pan-EU financial watchdog, tightened rules on short-selling on Monday, and will now require hedge funds and other...

How Six Lambda Helps Asset Managers Address Political Contribution Risk

With the US presidential election campaign rapidly gathering pace, the issue of political contributions – and the potential for conflicts of interest – has...

Shaping the future of payments: BIS Quarterly Review

The BIS Quarterly Review takes an in-depth look at the fast-changing world of payments, explaining the strengths and weaknesses of existing systems, describing the...

SEC extends filing deadlines for firms impacted by coronavirus

The Securities and Exchange Commission issued an order Wednesday providing publicly traded companies with 45 extra days to file certain disclosure reports that had...

The Global Impact of Settlement Discipline Regulation – Ensuring U.S. Firms Are Prepared

Although it is now more than 10 years since the G20 Summit in Pittsburgh, where policy makers agreed that post-crisis regulation should focus on...

Spanish Regulator Bans Short Selling Amid Coronavirus Driven Sell-off

The Comisión Nacional del Mercado de Valores (CNMV), the Spanish market regulator, has imposed a one-day ban on short-selling of 69 Spanish stocks aimed...

Benefits of a DLT Security Framework

With the adoption of distributed ledger technology (DLT) expected to grow in financial services, our new white paper, Security of DLT Networks, calls for...
- Advertisement -
- Advertisement -