Regulatory insights

The Financial Conduct Authority (FCA) has now published its Policy Statement (PS25/20) confirming the final rules for the UK Consumer Composite Investments (CCI) regime.…

The SEC has issued a new exemptive order, delaying compliance with Rule 13f-2 (Form SHO) and Rule 10c-1a (securities lending reporting). Form SHO reporting…

What is the GENIUS Act? The GENIUS Act (2025) – Guiding and Establishing National Innovation for US Stablecoins – is the United States’ first comprehensive federal…

Further SEC extension – June 12th compliance date extended On June 11th, the SEC convened and voted to extend the compliance deadline for the…

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…