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  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.

DP24/2: What’s on the Table? The FCA has outlined several objectives and proposed changes that could reshape how transaction reporting is handled in the UK. Streamlining Data Submission and Improving Quality To reduce redundancies, the FCA proposes removing fields such as certain instrument reference data...

Rule 13f-2 and Form SHO: In this blog, we break down the key points to be aware of for Form SHO reporting

As part of our Emerging Regulations Watch series, this blog outlines the key updates for RTS 22, their implications, and the next steps for stakeholders.

Get ready for DORA compliance with key insights from the Central Bank of Ireland’s latest briefing. Learn about gap analysis, ICT provider contracts, and essential steps to meet regulatory requirements ahead of the January 2025 deadline.

In this blog, we take closer a look at the SEC's Form PF amendments and analyze the key changes impacting fund managers.

The Securities and Exchange Commission (SEC) has taken a significant step towards bolstering proxy voting transparency by adopting rule and form amendments to Form N-PX. These changes aim to standardize mutual fund proxy voting disclosures, providing investors with a clearer and more accessible view of voting records.

The Corporate Sustainability Reporting Directive (CSRD), brings about crucial changes to the reporting frameworks businesses must comply with. As part of our Emerging Regulations Watch series, we explore the specifics of the CSRD’s phased implementation and how it impacts sustainability reporting requirements for companies across Europe.

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.