Aggregated News From Investment Management Regulators

Topics

Accounting and AuditingADIsAdministrative Services ProvidersAIFMAlternative InvestmentAlternative Investment Fund Managers RegulationsAlternative Investment FundsAlternative InvestmentsAlternative Investments ManagementAMLAnti-Money LaunderingAnti-Money Laundering and Combating Terrorist FinancingAppraisalsAssessments and FeesAsset ManagementAsset ValuationsAutomatic Securities Disposition Plans and Automatic Securities Purchase PlansBankBank Information Technology (BIT)Bank OperationsBankingBanksBasel Committee on Banking SupervisionBenchmark Rate ReformBenchmark RegulationBinary OptionsBlockchainBoard of Directors and ManagementBond MarketBondsBrexitBroker-DealerBroker-DealersBrokerage AccountsBusiness ContinuityCall ReportsCannabisCapitalCapital MarketsCapital RaisingCapital RequirementsCentral Securities DepositoriesCertificationsCircuit BreakersClearingClient Money RegulationsClimate Change and RiskClosed-End FundsClosed-End Funds,Collective Investment SchemesCommercial CreditCommercial Credit, Credit, Laws & Regulations, OCC RegulationsCommittee on Foreign Investment in the United States (CFIUS)CommoditiesCommodity Pool OperatorsCommodity PoolsCommodity Trading AdvisorsCommunity Development Financial InstitutionCommunity Reinvestment Act (CRA)Company Service ProvidersConsolidated Audit Trail (CAT)Contracts for DifferencesCorporate and Risk Governance CARGCOVID-19CRA Sunshine ActCreditCredit and LoansCredit Assessment AgentsCredit InstitutionsCredit Rating AgenciesCredit RatingsCredit UnionsCrowdfundingCrypto AssetsDark TradingData ExchangeDebt InstrumentsDebt ManagementDebt SecuritiesDecentralized Finance (DeFi)Dematerialized AccountsDepositoriesDepositories,DerivativesDesign and Distribution ObligationsDigital AssetsDisaster Recovery and ReliefDisclosure RequirementsDispute ResolutionDistressed DebtDiversity and InclusionDividends and Share RepurchasesDodd-Frank ActDouble Volume CapEBA/GL/2019/02Economic SanctionsEmerging BusinessEmerging MarketsEMIREMIR REFITEmployee Savings PlansEmploymentEnergy SectorEnforcement/Litigation/Investigations/ExaminationsEquitiesEquity FinancingEquity MarketERISAEuropean Single Electronic FormatEuropean Supervisory AuthoritiesEventsExchange RatesExchange-Traded FundsExchangesExport ControlsFactoringFATCAFCPAFinal Laws/Rules/Regulations/Guidelines/OrdersFinancial Advice ProvidersFinancial AdvisersFinancial DistressFinancial Education/LiteracyFinancial InstitutionsFinancial Market InfrastructuresFinancial ReportingFinancial ResilienceFinancial Services ProvidersFinancing of ProliferationFinTechFixed IncomeForeign ExchangeForeign InvestmentForm 13FForm ADVForm CPO-PQRForm CRSFreedom of Information Act (FOIA)Fund FeesFund ManagerFund ManagersFutures Commission MerchantsGeneralGovernanceGreen FundsGuaranteesHedge FundsIBAN Accounts and Safe-Deposit BoxesIFRSIllegal Phoenix ActivityInflationInformation and Cyber Security - BITInfrastructure Investment Trusts (InvITs)Initial Coin OfferingsInitial Public OfferingInsider TradingInsolvency and BankruptcyInsuranceInterest Rate RiskInterest RatesintervIntraday TradingInvestment AdviserInvestment AdvisersInvestment Advisers Act of 1940Investment Company Act of 1940Investment FirmsInvestment FundsInvestment ManagementInvestment Management,Investment Services ProvidersIPOs/SPACs /Direct Listings/Private PlacementsIssuerIssuersLaws & RegulationsLeadershipLeverage CertificatesLeveraged FinanceLIBORLicensingLicensing/Registration/CertificationLicensing/Registration/Certification/AuthorizationLiquidityLiquidity ContractsMargin RequirementsMarket AbuseMarket Based FinanceMarketing and AdvertisingMergers/Acquisitions/DispositionsMiFIDMiFIRMini-bondsMinority Depository InstitutionsMonetary PolicyMoney Market FundsMONEYVALMortgagesMunicipal AdvisorsMunicipal SecuritiesMutual FundsNational Security LawNo-Action ReliefNon-Bank Financial IntermediariesNon-Financial ReportingNon-Financial UndertakingsNon-Fungible Tokens (NFTs)OCC RegulationsOpen Price OfferOpen-End FundsOpen-Ended FundsOperational ResilienceOperational RiskOrders on Banking ApplicationsOTC TransactionsOutsourcingOverdraftsPartnershipsPassportingPayment Service ProvidersPayment ServicesPayments SectorPDMRPermanent and Private CapitalPIMFAPonzi SchemesPortfolio ManagersPrepaid Payment InstrumentsPRIIPsPrivacy and Information SecurityPrivate Credit FundsPrivate Equity and Venture CapitalPrivate Equity FundsPrivate FundsPrivate Investment FundsPrivate Investment in Public Equity (PIPE)Private InvestmentsPrivate Limited CompanyProduct Intervention PowerProposed Laws/Rules/Regulations/Guidance/OrdersProspectusProxy AdvisorsProxy SolicitationPrudential RegulationPublic ConsultationsPublic Limited CompanyPyramid SchemesQFII/RQFIIReal EstateReal Estate SyndicationRecordkeepingRegulation ATSRegulation LRegulation S-KRegulations A and DRegulatory ReportingRegulatory Technical StandardsREITsRemunerationResearch AnalystsResponsible InnovationRestructuring and Distressed AssetsRetail Foreign Exchange DealerRetail Investors and ConsumersRetirementRetirement PlansRisk ManagementSafeguardingSandboxSavings and Credit CooperativesScams and FraudSecondary Market DisclosureSecurities Financing TransactionsSecuritization and Structured FinanceSecuritized ProductsSecurity TokensServicemembers Civil Relief ActShared National CreditsShareholdersShort SellingSICARsSIFsSingle Supervisory MechanismSmall and Medium-Sized Enterprises (SMEs)Social MediaStartupsStress TestingStressed AssetsStructured NotesSupervision of Financial ServicesSupply ChainsSustainable FinanceSwapsSystematic InternalisersTakeovers CodeTaxTaxonomy RegulationTechnical ReservesTechnologyThriftsTrade and Transaction ReportingTrade RepositoriesTrading SuspensionsTrading VenuesTransparency ExerciseTreasury and Market RiskTreasury MarketTrustees and Other FiduciariesTrustsTrusts and EstatesTwinning ProjectUCITSUnauthorized FirmsUndertakings for Collective InvestmentVirtual CurrenciesVirtual Financial AssetsVolcker RuleWealth ManagementWhistleblower
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