Blogs
Posts tagged with Keep up with regulatory change
SEC: Changes to Private Fund Reporting for US Investment Advisers
On 10 August 2022, the SEC voted 3-2 to propose amendments to Form PF (‘the Form’).
The EU’s MiCA - the ‘Mini-MiFID’
In late June, the Council presidency and the European Parliament reached provisional agreement to introduce the Markets in Crypto-assets (MiCA) directive.
Vendor Risks Financial Institutions are Facing in 2022
While having few vendors is logical, our blog provides some strong counter arguments as to why having a selection of strong vendors is the best way forward.
SEC Proposes Changes to Section 13 and Short Sale Requirements
Dave Polonsky gives a run through of the new, proposed changes to beneficial ownership and short-selling reporting by the SEC.
SEC Proposes Short Sale Disclosure Rule
The Securities and Exchange Commission proposed new Rule 13f-2 to increase market transparency regarding short selling.
Product Update: The ‘Florange Law’ and Double Voting Rights
FundApps has introduced new functionality making it possible to automatically calculate the adjustment to voting rights derived from the Florange Law.
SEC Proposes Amendments to 13G and 13D Beneficial Ownership Reporting
An overview of the proposed changes to Section 13G and Section 13D by the SEC, the first of their kind in more than 40 years.
MiFID II Recovery Package Changes
A summary of MiFID II Recovery Package changes, due to come into effect toward the end of February.
ESMA’s lowering of the SSR minimum threshold from 0.2% to 0.1%
The long-anticipated lowering of the threshold for short disclosure is coming into effect by the end of the month.