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 ValuationsBankingBanking and Consumer Regulatory PolicyBanksBasel Committee on Banking SupervisionBenchmark Rate ReformBenchmarks RegulationBinary OptionsBlockchainBond MarketBondsBrexitBroker-DealersBrokerage AccountsBrokered DepositsBusiness ContinuityCall ReportsCannabisCapital MarketsCapital RaisingCapital RequirementsCarbon MarketsCentral Bank Digital Currency (CBDC)Central Securities DepositoriesCentral Securities Depositories Regulation (CSDR)Circuit 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 InstitutionsCommunity Reinvestment Act (CRA)Company Service ProvidersConsolidated Audit Trail (CAT)Contracts for DifferencesCorporate GovernanceCOVID-19CRA Sunshine ActCredit and LoansCredit Bureaus and Credit ReportingCredit InstitutionsCredit Rating AgenciesCredit RatingsCredit UnionsCross Border Activities and CooperationCrowdfundingCrypto AssetsDark TradingData ExchangeData Reporting Service ProvidersDebt 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 REFITEmployment and AppointmentsEnergy SectorEnforcement/Litigation/Investigations/ExaminationsEquitiesEquity FinancingEquity MarketERISAEuropean Single Access Point (ESAP)European Single Electronic FormatEuropean Supervisory AuthoritiesEventsExchange RatesExchange-Traded FundsExport ControlsFactoringFATCAFinal Laws/Rules/Regulations/Guidelines/OrdersFinal Laws/Rules/Regulations/Guidelines/Orders/Technical StandardsFinancial Advice ProvidersFinancial AdvisersFinancial DistressFinancial Education/LiteracyFinancial InstitutionsFinancial Market InfrastructuresFinancial Reporting and Financial StatementsFinancial ResilienceFinancial Services ProvidersFinancing of ProliferationFinTechFixed IncomeForeign ExchangeForeign InvestmentForm 13FForm ADVForm CPO-PQRForm CRSFreedom of Information Act (FOIA)Fund FeesFund ManagementFutures Commission MerchantsGeneralGreen FundsGuaranteesHedge FundsIBAN Accounts and Safe-Deposit BoxesIFRSInflationInfrastructure 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/Authorization/MembershipLiquidityLiquidity ContractsMargin RequirementsMarket AbuseMarket Based FinanceMarket Infrastructure Institutions (MIIs)Marketing and AdvertisingMedia ReleaseMergers/Acquisitions/DispositionsMicro-Investment ProductsMicrofinance OrganizationsMiFID I and 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 LitigationOCC PeopleOpen Finance FrameworkOpen Price OfferOpen-End FundsOpen-Ended FundsOperational ResilienceOperational RiskOperational Risk ManagementOrders on Banking ApplicationsOTC TransactionsOutsourcingOverdraftsPartnershipsPayment Service ProvidersPayment ServicesPayment SystemsPayments SectorPayments SystemsPDMRPermanent and Private CapitalPhoenixingPIMFAPonzi SchemesPortfolio ManagementPortfolio Management,Prepaid Payment InstrumentsPRIIPsPrime 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 StandardsProspectusesProxy 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 ReportingREITs and Real Estate FundsRemunerationResearch AnalystsResponsible InnovationRestructuring and Distressed AssetsRetail Foreign Exchange DealerRetail Investors and ConsumersRetirementRetirement PlansRisk ManagementSafeguardingSandboxSavings 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 BusinessessmesSocial MediaSpeechStartupsStewardship CodeStock ExchangesStrategic PlanningStress TestingStressed AssetsStructured NotesSupervision of Financial ServicesSupply ChainsSustainable FinanceSwapsSystematic InternalisersTaxesTaxonomy RegulationTechnical ReservesTechnologyThird Party Risk ManagementThriftsTrade and Transaction ReportingTrade RepositoriesTrading SuspensionsTrading VenuesTransfer Pricing and Intercompany TransactionsTransparency and Disclosure RequirementstrchTreasury MarketTrustees and Other FiduciariesTrustsTrusts and EstatesTruth in Lending Act (Reg Z)Twinning ProjectUCITSUnauthorized FirmsUndertakings for Collective InvestmentVirtual AssetsVirtual CurrenciesVolcker RuleWealth ManagementWhistleblower
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