2024 was a year of meaningful regulatory change for asset managers globally. The regulatory activity was wide ranging and without a particular unifying theme. In fact, the wide, and in cases diverging focuses of key global...more
2/12/2025
/ Asset Management ,
Australia ,
Capital Markets ,
Cryptoassets ,
Cryptocurrency ,
Disclosure Requirements ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Financial Services Industry ,
Foreign Investment ,
Hong Kong ,
Investment Firms ,
Investment Funds ,
Investment Management ,
Investors ,
Japan ,
Regulatory Requirements ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Singapore ,
Sustainability ,
Sustainable Finance
Introduction - On 6 February 2024, the US Securities and Exchange Commission (SEC) voted 3-2 to adopt two new rules that significantly expand the definitions of a “dealer” and “government securities dealer” in Sections...more
3/4/2024
/ Asset Management ,
Broker-Dealer ,
Compliance ,
Cryptoassets ,
Digital Assets ,
Final Rules ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Investment Adviser ,
Investment Firms ,
Investment Funds ,
Liquidity ,
Recordkeeping Requirements ,
Regulatory Oversight ,
Reporting Requirements ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Shareholders ,
SRO ,
Trading Platforms