Compliance Perspectives: Rolling Out New Compliance Initiatives
On June 25, 2025, the U.S. Securities and Exchange Commission (SEC) voted to extend the compliance deadline for recent amendments to Exchange Act Rule 15c3-3 (the “Customer Protection Rule”) to June 30, 2026. The amendments,...more
As discussed in a previous article, the European Union is seeking to "bring competitiveness and climate goals together," and therefore launched a reform package—the Omnibus package—regarding sustainability reporting and...more
On April 17, 2025, the Securities and Exchange Commission (SEC) extended the expiration date of a no-action statement (Compliance Statement) regarding compliance with reporting rules for security-based swap data repositories...more