Regulatory insights

The Commission de Surveillance du Secteur Financier (CSSF) recently issued a detailed report on the delegation of portfolio management by Investment Fund Managers (IFMs)…

The CSSF has published a paper outlining their considerations on macroprudential policy for investment funds. Studies by the Financial Stability Board (FSB) and European…

The Securities & Exchange Commission announced on 15 May 2024 amendments to Regulation S-P directing how financial institutions handle non-public personal information. These revisions…

The European Securities & Markets Authority (ESMA) issued a cautionary statement on 6 February 2024 regarding the posting of investment recommendations on social media…

On 30 January 2024 the European Securities & Markets Authority (ESMA) published their findings regarding the risks that leveraged Alternative Investment Funds (AIFs) pose…

On 10 October 2023, revisions to Schedule 13D and 13G were adopted by the Securities and Exchange Commission. These are filing sections of the…

The Securities & Exchange Commission adopted its final rule on 23 August 2023 regarding revisions to the Investment Advisers Act of 1940 (Advisers Act).…

The Council and European Parliament reached a provisional agreement on 20 July 2023 regarding revisions to rules in the Alternative Investment Fund Managers Directive,…

The Securities and Exchange Commission have adopted their Final Rule for enhancements of the Form PF reporting requirement. The new rules confirm much of…