Aggregated News From Investment Management Regulators

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Accounting and AuditingADIsAdministrative Services ProvidersAlternative InvestmentAlternative Investment Fund Managers RegulationsAlternative Investment FundsAlternative InvestmentsAlternative Investments Fund ManagementAnti-BriberyAnti-Money LaunderingAnti-Money Laundering and Combating Terrorist FinancingAppraisalsAssessments and FeesAsset ManagementAsset ValuationsBanker Education, Community BanksBankingBanksBasel Committee on Banking SupervisionBenchmark Rate ReformBenchmark RegulationBinary OptionsBlockchainBond MarketBondsBrexitBroker-DealersBrokerage AccountsBrokered DepositsBusiness Combinations & Mergers, LicensingBusiness Combinations & Mergers, Licensing, Public Notice & CommentsBusiness ContinuityCall ReportsCannabisCapital MarketsCapital Markets, Credit, Credit Administration, Retail Credit, Treasury & Market RiskCapital RaisingCapital RequirementsCarbon MarketCentral Bank Digital Currency (CBDC)Central Securities DepositoriesCentral Securities Depositories Regulation (CSDR)Charters, Licensing, Minority Depository InstitutionsCircuit BreakersClearingClimate Change and RiskClosed-End FundsCollective Investment SchemesCommittee on Foreign Investment in the United States (CFIUS)CommoditiesCommodity Pool OperatorsCommodity PoolsCommodity Trading AdvisorsCommon European Reporting (COREP)Community Development Financial InstitutionCommunity Outreach, Fair Lending, Minority Affairs, Mortgage Banking / Residential Lending, Responsible InnovationCommunity Reinvestment Act (CRA)Community Reinvestment Act (CRA), ComplianceCompany Service ProvidersComptroller of the CurrencyConsolidated Audit Trail (CAT)Consumer Protection, Fair Lending, Flood Disaster Protection Act, OCC RegulationsContracts for DifferencesCOVID-19CRA Sunshine ActCredit and LoansCredit BureausCredit InstitutionsCredit Rating AgenciesCredit RatingsCredit UnionsCrowdfundingCrypto AssetsDark TradingData ExchangeDebt InstrumentsDebt ManagementDebt SecuritiesDecentralized Finance (DeFi)Dematerialized AccountsDepositoriesDepositories,Depository ReceiptsDerivativesDesign and Distribution ObligationsDigital AssetsDisaster Recovery and ReliefDispute ResolutionDistressed DebtDiversity and InclusionDividends and Share RepurchasesDodd-Frank ActDouble Volume CapDue Diligence RequirementsEconomic SanctionsElectronic Funds TransfersEmerging BusinessEmerging MarketsEMIREMIR REFITEmployee Savings PlansEmploymentEnergy SectorEnforcement/Litigation/Investigations/ExaminationsEquitiesEquity FinancingEquity MarketERISAEuropean Single Access Point (ESAP)European Single Electronic FormatEuropean Supervisory AuthoritiesEventsExchange RatesExchange-Traded FundsExchangesExport ControlsFactoringFATCAFinal Laws/Rules/Regulations/Guidelines/OrdersFinal Laws/Rules/Regulations/Guidelines/Orders/Technical StandardsFinancial Advice ProvidersFinancial AdvisersFinancial DistressFinancial Education/LiteracyFinancial InstitutionsFinancial LiteracyFinancial Market InfrastructuresFinancial ReportingFinancial ResilienceFinancial Services ProvidersFinancing of ProliferationFinTechFixed IncomeForeign ExchangeForeign InvestmentForm 13FForm ADVForm CPO-PQRForm CRSFreedom of Information Act (FOIA)Fund FeesFund ManagersFutures Commission MerchantsGeneralGovernanceGreen FundsGuaranteesHedge FundsIBAN Accounts and Safe-Deposit BoxesIFRSInflationInformation & Cyber Security - BITInfrastructure Investment Trusts (InvITs)Initial Coin OfferingsInsider Trading and Self-DealingInsolvency and BankruptcyInsuranceInterest Rate RiskInterest RatesIntermediate Parent Undertakings (IPUs)International Financial Institutions (IFIs)Intraday TradingInvestment AdviserInvestment AdvisersInvestment Advisers Act of 1940Investment Company Act of 1940Investment FirmsInvestment FundsInvestment ManagementInvestment Management,Investment Services ProvidersInvestor Protection FundsIPOs/SPACs /Direct Listings/Private PlacementsIssuersLaws & Regulations, OCC RegulationsLeadershipLeverage CertificatesLeveraged FinanceLIBORLicensingLicensing/Registration/CertificationLicensing/Registration/Certification/AuthorizationLiquidityLiquidity ContractsMargin RequirementsMarket AbuseMarket Based FinanceMarket Infrastructure Institutions (MIIs)Marketing and AdvertisingMergers/Acquisitions/DispositionsMicro-Investment ProductsMicrofinance OrganizationsMiFID I/MiFID IIMiFIRMini-bondsMinority Depository InstitutionsMonetary PolicyMoney Market FundsMONEYVALMortgagesMunicipal AdvisorsMunicipal SecuritiesMutual FundsMutual Savings AssociationsNational Security LawNo-Action ReliefNon-Bank Financial IntermediariesNon-Financial ReportingNon-Financial UndertakingsNon-Fungible Tokens (NFTs)OCC LitigationOpen Price OfferOpen-End FundsOpen-Ended FundsOperational ResilienceOperational RiskOperational Risk ManagementOrders on Banking ApplicationsOTC TransactionsOther AnnouncementsOutsourcingOverdraftsPartnershipsPassportingPayment Service ProvidersPayment ServicesPayment SystemsPayments SectorPayments SystemsPDMRPermanent and Private CapitalPhoenixingPIMFAPonzi SchemesPortfolio ManagementPortfolio Management,Prepaid Payment InstrumentsPress ReleasePRIIPsPrime BrokeragePrivacy and Information SecurityPrivate Equity and Venture CapitalPrivate Equity FundsPrivate FundsPrivate Investment FundsPrivate Investment in Public Equity (PIPE)Private InvestmentsPrivate Investments,Private Limited CompanyProduct Intervention PowerProduct Oversight and GovernanceProposed Laws/Rules/Regulations/Guidelines/Orders/Technical StandardsProspectusProxy AdvisorsProxy SolicitationPrudential RegulationPublic ConsultationsPublic Limited CompanyPublic NoticePyramid SchemesQFII/RQFIIReal EstateReal Estate Settlement Procedures Act (Reg X)Real Estate SyndicationRecordkeepingRecovery and ResolutionRegulation ATSRegulation LRegulation S-KRegulations A and DRegulatory ReportingREITsRemunerationResearch AnalystsResponsible InnovationRestructuring and Distressed AssetsRetail Foreign Exchange DealerRetail Investors and ConsumersRetirementRetirement PlansRisk ManagementSafeguardingSanctions NoticesSandboxSavings and Credit CooperativesScams and FraudSecondary Market DisclosureSecurities Financing TransactionsSecurities LendingSecuritization and Structured FinanceSecuritized ProductsSecurity TokensSelf-Regulatory Organizations (SROs)Shareholders and UnitholdersShort SellingSICARsSIFsSingle Supervisory MechanismSmall and Medium-Sized Enterprises (SMEs)Small BusinessSocial MediaSpeechStartupsStewardship CodeStrategic PlanningStress TestingStressed AssetsStructured NotesSupervision of Financial ServicesSupply ChainsSustainable FinanceSwapsSystematic InternalisersTaxTaxonomy RegulationTechnical ReservesTechnologyThird Party Risk ManagementThriftsTrade and Transaction ReportingTrade RepositoriesTrading SuspensionsTrading VenuesTransfer Pricing and Intercompany TransactionsTransparency and Disclosure RequirementstrchTreasury & Market RiskTreasury and Market RiskTreasury MarketTrustees and Other FiduciariesTrustsTrusts and EstatesTruth in Lending Act (Reg Z)Twinning ProjectUCITSUnauthorized FirmsUndertakings for Collective InvestmentVirtual CurrenciesVirtual Financial AssetsVolcker RuleWealth ManagementWhistleblower
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