Insights
Hedge Fund Quarterly Update 2021 Q4
Learn more about recent regulatory developments industry insights in our Hedge Fund Quarterly Newsletter.
- Compliance
- SEC
SEC Proposes Amendments to Private Fund Reporting
On January 26, 2022, the SEC voted to propose amendments to Form PF. The Proposed Rule is designed to enhance the data aggregated through private fund reporting. In our most recent blog, we break down the potential impacts of the proposal and what your firm needs to know.
- Compliance
Urgent Action Required: ESMA Clarifies Reporting of Short Positions Above New 0.1% Threshold
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:
- Compliance
The 2022 Ransomware White Paper
A guide that addresses what you should know, and what you should do to protect your firm, your clients, and your finances.
- Cybersecurity
- Cybersecurity Resources
2022 Broker-Dealer Regulatory Filings Calendar
We've put together a printable calendar with key FINRA regulatory filing deadlines in addition to national holidays at a glance.
- Compliance
New Public Disclosure Obligations Under the IFPR: What, When and How?
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.
- Compliance
SEC No-Action Letter Regarding Amended Rule 15c2-11
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.
- Compliance
FTC 'Safeguards Rule' Strengthens Data Security Requirements and Broadens the Scope of Financial Institutions Who Must Comply
FTC Amends Gramm-Leach-Bliley Act ‘Safeguards Rule’ to Strengthen the Data Security of Financial Institutions
- Cybersecurity
- Cybersecurity Resources
FCA Confirms Changes to MiFID II Rules on Research Plus an End to RTS 28 Reports on Best Execution
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.
- Compliance
Q1 2022 Regulatory Reporting Deadlines
Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from January through March 2022.
- Compliance
- Regulatory Technology
- Regulatory Deadlines