Regulatory Oversight, Asset Management, Investors

FCA launches IAAT

A&O Shearman on 6/16/2025

The UK Financial Conduct Authority (FCA) has launched the investment advice assessment tool (IAAT) to help personal investment firms assess the suitability of their investment advice and disclosures to consumers (excluding...more

FCA supports move towards faster settlement cycle for fund trades

A&O Shearman on 6/9/2025

The UK Financial Conduct Authority (FCA) has published a press release welcoming a joint statement from asset management trade associations supporting the transition to faster settlement of trades in funds. Effective from 11...more

SEC Does Not Appeal Fifth Circuit’s Overturn of SEC Private Funds Rules

Alston & Bird on 8/5/2024

Our Investment Funds Team examines why the Securities and Exchange Commission is passing on the opportunity to appeal the Fifth Circuit’s ruling to vacate the Private Funds Rules....more

Regulatory Roundup for June 2024

SEC Compliance Consultants, Inc. (SEC³) on 6/28/2024

Private Fund Rules Cancelled, Survey Says Marketing Rule is a Lot of Work and the Intersection of Regulation BI and Investment Adviser’s Fiduciary Duty - Welcome to our June Regulatory Roundup, where we provide you with a...more

SEC Issues Long-Awaited Climate Risk Disclosure Rule

K&L Gates LLP on 3/7/2024

Introduction - On Wednesday, 6 March 2024, the Securities and Exchange Commission (SEC) approved its highly anticipated final rules on “The Enhancement and Standardization of Climate-Related Disclosures for Investors” by a...more

Greening the Economy: ESG and BVI Companies

Conyers on 9/21/2021

Institutional investors and regulators across the globe are increasingly focusing on environmental, social and governance (ESG) issues in terms of investment portfolio composition, corporate best practices and corporate...more