Aggregated News From Investment Management Regulators

Topics

Accounting and AuditingADIsAdministrative Services ProvidersAlternative InvestmentAlternative Investment Fund Managers RegulationsAlternative Investment FundsAlternative InvestmentsAlternative Investments Fund ManagementAMLAnti-Money LaunderingAnti-Money Laundering and Combating Terrorist FinancingAppraisalsAssessments and FeesAsset ManagementAsset ValuationsBank OperationsBankingBanking and Consumer Regulatory PolicyBanksBasel Committee on Banking SupervisionBenchmark Rate ReformBenchmark RegulationBinary OptionsBlockchainBond MarketBondsBrexitBroker-DealerBroker-DealersBrokerage AccountsBrokered DepositsBusiness ContinuityCall ReportsCannabisCapital MarketsCapital RaisingCapital RequirementsCentral Bank Digital Currency (CBDC)Central Securities DepositoriesCircuit BreakersClearingClient Money RegulationsClimate Change and RiskClosed-End FundsClosed-End Funds,Collective Investment SchemesCommittee on Foreign Investment in the United States (CFIUS)CommoditiesCommodity Pool OperatorsCommodity PoolsCommodity Trading AdvisorsCommon European Reporting (COREP)Community AffairsCommunity Development Financial InstitutionCommunity Economic Development (CED)Community Reinvestment Act (CRA)Company Service ProvidersConsolidated Audit Trail (CAT)Contracts for DifferencesCOVID-19CRA Sunshine ActCredit and LoansCredit 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 CapDue Diligence RequirementsEconomic SanctionsElectronic Funds TransfersEmerging BusinessEmerging MarketsEMIREMIR REFITEmployee Savings PlansEmploymentEnergy SectorEnforcement/Litigation/Investigations/ExaminationsEquitiesEquity FinancingEquity MarketERISAEuropean 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 Market InfrastructuresFinancial ReportingFinancial ResilienceFinancial Services ProvidersFinancing of ProliferationFinTechFixed IncomeForeign Corrupt Practices Act (FCPA)Foreign ExchangeForeign InvestmentForm 13FForm ADVForm CPO-PQRForm CRSFreedom of Information Act (FOIA)Fund FeesFund ManagersFutures Commission MerchantsGeneralGovernanceGreen 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)Intraday TradingInvestment AdviserInvestment AdvisersInvestment Advisers Act of 1940Investment Company Act of 1940Investment FirmsInvestment FundsInvestment ManagementInvestment Management,Investment Services ProvidersIPOs/SPACs /Direct Listings/Private PlacementsIssuersLeadershipLeverage CertificatesLeveraged FinanceLIBORLicensingLicensing/Registration/CertificationLicensing/Registration/Certification/AuthorizationLiquidityLiquidity ContractsMargin RequirementsMarket AbuseMarket Based FinanceMarket Infrastructure Institutions (MIIs)Marketing and AdvertisingMergers/Acquisitions/DispositionsMicro-Investment ProductsMicrofinance OrganizationsMiFIDMiFIRMini-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)Open Price OfferOpen-End FundsOpen-Ended FundsOperational ResilienceOperational RiskOperational Risk ManagementOrders on Banking ApplicationsOTC TransactionsOutsourcingOverdraftsPartnershipsPassportingPayment Service ProvidersPayment ServicesPayment SystemsPayments SectorPDMRPermanent and Private CapitalPhoenixingPIMFAPonzi SchemesPortfolio ManagementPortfolio Management,Prepaid Payment InstrumentsPRIIPsPrime BrokeragePrivacy and Information SecurityPrivate Credit FundsPrivate Equity and Venture CapitalPrivate Equity FundsPrivate FundsPrivate Investment FundsPrivate Investment in Public Equity (PIPE)Private InvestmentsPrivate Limited CompanyProduct Intervention PowerProduct Oversight and GovernanceProposed Laws/Rules/Regulations/Guidelines/Orders/Technical StandardsProspectusProxy AdvisorsProxy SolicitationPrudential RegulationPublic ConsultationsPublic Limited CompanyPyramid SchemesQFII/RQFIIReal EstateReal Estate SyndicationRecordkeepingRecovery and ResolutionRegulation ATSRegulation LRegulation S-KRegulations A and DRegulatory ReportingREITsRemunerationResearch 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 TokensSelf-Regulatory Organizations (SROs)Shareholders and UnitholdersShort SellingSICARsSIFsSingle Supervisory MechanismSmall and Medium-Sized Enterprises (SMEs)Social MediaStartupsStewardship CodeStress TestingStressed AssetsStructured NotesSupervision of Financial ServicesSupply ChainsSustainable FinanceSwapsSystematic InternalisersTaxTaxonomy RegulationTechnical ReservesTechnologyThird Party Risk ManagementThriftsTrade and Transaction ReportingTrade RepositoriesTrading SuspensionsTrading VenuesTransfer Pricing and Intercompany TransactionsTreasury and Market RiskTreasury MarketTrustees and Other FiduciariesTrustsTrusts and EstatesTwinning ProjectUCITSUnauthorized FirmsUndertakings for Collective InvestmentVirtual CurrenciesVirtual Financial AssetsVolcker RuleWealth ManagementWhistleblower
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