Blog

As the modern world encourages businesses to adopt an ethical and responsible approach to conducting business, the Corporate Sustainability Reporting Directive (CSRD) brings about crucial changes to the reporting frameworks businesses must comply with. This new directive builds on its predecessor, the Non-Financial Reporting Directive (NFRD), and aims to enhance transparency and uniformity across financial frameworks throughout the EU. ESEF reporting is a mandatory requirement for many companies within the EU to disclose their financial statements and sustainability information in a standardised electronic format.

The SEC has recently adopted Rule 13f-2, a measure aimed at improving transparency in the equity markets by focusing on short-selling activities. The rule, set to take effect in early 2025, requires investment managers to report detailed data on their short positions and activities each month through the newly introduced Form SHO. In this blog, we delve into what Rule 13f-2 entails and its implications for investment managers and technology.

The SEC's recent amendments to Form PF Section 4 bring significant changes to the annual reporting requirements for large private equity fund advisers. Our latest blog explores these updates, detailing their implications for transparency and systemic risk monitoring within the private equity industry.

In this blog, we explore the complexities of MiFID II transaction reporting, the challenges of back reporting errors, and how to ensure accuracy and compliance with AQMetrics' advanced solutions. Discover how to streamline your reporting process and avoid costly remediation efforts.

The derivative transaction reporting regime in Australia is changing under the Australian Securities & Investments Commission (ASIC)’s Third Consultation 375. The updated reporting rules are scheduled to commence on 21 October 2024. As part of our Emerging Regulations Watch series, we delve into the details of the upcoming Australian Transaction Reporting regime changes and analyze how they affect filings.

In the wake of amendments to Form PF introduced by the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), and set to take effect on March 12, 2025, private funds—especially hedge funds—are at the threshold of adapting to a revamped regulatory environment.

Le monde financier évolue sans cesse, porté par de nouvelles réglementations. Avec notre série de blogs "Veille réglementaire", bénéficiez de notre expertise. Nous partageons nos analyses et conseils pour naviguer avec succès dans cet environnement a l’équilibre instable.

As part of the Emerging Regulations Watch series, this blog focuses on the New CSSF (Commission de Surveillance du Secteur Financier) Circular on Investment Rule Breaches and NAV errors, and the challenges this places on Luxembourg-based funds.

In a significant move that heralds a new era in securities regulation, the U.S. Securities and Exchange Commission (SEC) has amended the reporting rules for beneficial ownership under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. The amendments, announced in October 2023, bring about substantial changes to the filing deadlines for Schedule 13D and Schedule 13G, marking the first adjustment in nearly half a century.

In this blog, we delve into the details of the SEC's 13G and 13D amendments and analyze how they affect filings.

Compliance officers, finance directors, and chief operations officers were asked to rank their regulatory reporting priorities, revealing streamlining data collection as the top concern, closely followed by accuracy and regulatory updates. This article delves into the importance of these priorities and addresses how the AQMetrics end-to-end regulatory reporting platform provides a comprehensive solution.

As part of our ongoing Emerging Regulations Watch series, we delve into the Securities and Exchange Commission's (SEC) recent amendments to Form PF. These amendments mark a pivotal moment in private fund reporting, aiming to bolster regulatory oversight and systemic risk monitoring. Keep reading as we dissect the implications of these changes for private funds and advisers, providing insights to help you navigate them.

The global financial landscape is constantly shifting, and new regulations and amendments are often the driving force. With decades of experience in navigating the complexities of multi-jurisdictional regulatory changes, we are equipped to guide you through the maze, by introducing our new blog series: Emerging Regulations Watch, where we provide insights & analysis on new rules. Kicking off this series, we set our sights on the Money Market Mutual Fund (“MMMF”) Regulatory Reform and the challenges this places on Money Market Funds (“MMFs”) with regard to Liquidity Risk Control.

This blog sets out the main steps AIFMs need to take over the next twelve months and simply sums up what AIFMs must do to comply with DORA.

With ever-emerging multi-jurisdictional regulations, buy-side firms must continually ensure that they maintain regulatory compliance. This is not always easy to accomplish as buy-side regulations have increased dramatically in scope and speed across the Globe. Download our Emerging Regularions Checklist 2024 today.

How to extract, reconcile and get the most of your MiFID II transaction reporting data using the AQMETRICS ARM.

Embarking on a MiFID II transaction reporting migration? Discover a comprehensive guide to seamlessly navigating this process. Learn about the benefits and considerations of switching ARMs, streamlining the migration process, protecting sensitive data, and leveraging AQMetrics' differentiated approach. Empower your firm with enhanced regulatory compliance.

The recent adoption of Rule 13f-2 by the Securities and Exchange Commission brings new transparency to short selling practices. Our latest blog delves into the critical aspects of this new rule, underscoring the need for an effective compliance strategy.

Understanding regulatory compliance, especially the intricacies of Section 13F filings is a challenge many firms face. Ensuring accurate reporting while managing the time-intensive reviews can be daunting. This blog delves into the specifics of Section 13F, sheds light on the common hurdles companies encounter, and underscores the critical need for a streamlined approach to regulatory compliance.

This month the FCA released publications on what it expects from firms in terms of liquidity risk management and compliance. In a recent press release, FCA warned that their most recent review of asset managers liquidity risk management and compliance “should serve as a warning to all asset managers that they need to get this right”.

If you need to replace your incumbent MiFID II transaction reporting solution and are currently searching to find a platform authorized as an Approved Reporting Mechanism (ARM), that can offer the simplest migration path possible, then AQMetrics is the solution for you.This blog sets out what is involved in migrating to AQMetricsand and the reasons why firms switch to AQMetrics.