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Japan is about to implement one of its most consequential updates to the shareholding disclosure regime in decades. Taking effect 1st May 2026, the reform significantly expands what must be disclosed, how thresholds are calculated, and which investment structures fall into scope.

The publication of the FCA's Consultation Paper (CP) 25/32 (Improving the UK transaction reporting regime), marks a definitive shift towards smarter, proportionate, and more competitive regulation.

The U.S. Securities and Exchange Commission (SEC) has signalled a clear shift in its Fiscal Year 2026 Examination Priorities: its scrutiny of Investment Advisers' Compliance Programs will be surgical, focusing on areas where basic, preventable errors persist.

The UK Short Selling Regulation (UK SSR) is poised for a significant overhaul. While the existing framework remains active, the FCA’s release of Consultation Paper CP25/29 on 28 October 2025 signals an imminent, high-certainty transition to the Short Selling Regulations 2025 (SSR 2025).

The UK EMIR Refit mandated radical technical shifts aimed at greater market transparency. Yet, the FCA’s recent Market Watch 84 delivers a stark post-implementation reality check, confirming that the root problem is not merely technical, but a systemic failure of governance and operational frameworks within the financial sector.

Recent developments from the U.S. Court of Appeals for the Fifth Circuit have provided some clarity on the path forward for the SEC’s short-sale transparency rule, often known as Rule 13f-2 or Form SHO. The court's decision sent the rule back to the SEC for additional economic analysis but, crucially, did not vacate it. This means the rule remains in effect, and the clock is still ticking.

In an era of growing regulatory scrutiny, financial firms are under increasing pressure to deliver accurate, timely, and multi-jurisdictional transaction reports. At AQMetrics, we’ve built a reputation for simplifying this complexity through our Centre of Excellence for Transaction Reporting.

The U.S. Securities and Exchange Commission (SEC) introduced its new platform called EDGAR Next last March. This update is designed to improve security, streamline account management, and make the filing process more efficient. So what is changing, when and what do you have to do?

The July AIFMD Annex IV reporting deadline has passed, and for many AIFMs across Europe and the UK, the pressure drops as another regulatory hurdle has been cleared. But a deeper question (re)emerges: was this process truly efficient, or did it expose underlying challenges that will resurface with the next reporting cycle?

The SEC’s new Form N-PX rules revealed unexpected operational, technical, and governance challenges for investment managers in 2024. In this blog, Paul Chung outlines key lessons and urges firms to prioritise data quality, XML automation, and strategic oversight ahead of the August deadline.

FCA's Market Watch 82 pushes firms for robust UK MiFID transaction reporting. Remediation, back-reporting, and breach notifications are under scrutiny. AQMetrics, an ESMA and FCA-authorised DRSP, delivers regulated ARM services, giving your firm the assurance and transparency needed for seamless compliance.

At AQMetrics, we believe it’s time to move beyond reactive compliance. We're excited to announce the release of our latest whitepaper, diving deep into our transformative Global Shareholding Disclosure (GSD) Engine, powered by Agentic AI.

Poll insights highlight the growing role of agile third party providers in compliance transformation.

Regulatory divergence between UCITS and AIFMD, accelerated by the upcoming AIFMD II, poses increasing complexity for Luxembourg fund managers, demanding stronger data governance, automation, and cross-regime reporting capabilities. As compliance requirements grow more distinct, operational readiness and consistent regulatory reporting have become critical for firms managing both fund types.

The Commission de Surveillance du Secteur Financier (CSSF) has officially extended the submission window for the Digital Operational Resilience Act (DORA) Register of Information (RoI). Financial entities now have until 31 May 2025 to submit corrected or consolidated registers via the CSSF’s eDesk portal.

In late April, the European Securities and Markets Authority (ESMA) released its 2024 Report on the Quality and Use of Data, a revealing document that highlights a fundamental shift in how regulatory data is being viewed, used, and enforced across European financial markets.

As regulatory expectations continue to evolve, the SEC’s Form PF amendments are pushing fund managers toward more granular reporting. As part of our Emerging Regulations Watch series, we explore how leveraging Form PF data can enhance your firm’s risk framework.

It has been a full year since the EMIR Refit went live in the EU, and 7 months in the UK. What’s next for the firms navigating both regulatory landscapes?

  What are Rule 6500 Series and SLATE? In the Notice and Partial Amendment No.1, FINRA stated that it proposed to adopt the new rule to establish reporting requirements for covered securities loans. SLATE will also provide for the dissemination of individual and aggregate covered...

Regulatory change management is key for sell-side and buy-side firms to ensure compliance with emerging regulations in 2025.