IAA Supports Australian Licensing Exemptions for FFSPs
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January 14, 2022
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IOSCO Publishes Recommendations on ESG Ratings and Data Product Providers
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November 30, 2021
IOSCO Report Recommends Sustainability-Related Improvements for Asset Managers
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November 04, 2021
IAA Comments on Australian Consultation on Foreign Financial Services Providers Regulation
The IAA recently filed a comment letter with the Australian Government on its July 9 Consultation Paper on potential options for the regulatory regime that will apply to foreign financial...
August 02, 2021
UK FCA Proposes to Permit Re-Bundling for Research Under MiFID II Following Similar EU Changes
The UK FCA issued a consultation recently to scale back limits on the use of commissions to pay for research under MiFID II. Currently under MiFID II, managers have had...
May 18, 2021
Navigating Regulatory Change in Europe | Four Hot Topics
With Brexit roiling the waters, the regulatory environment in Europe is particularly dynamic at the moment. In the International Developments session at the 2021 IAA Investment Adviser Compliance Conference, speakers...
March 16, 2021
IOSCO Presses for Globally Consistent Sustainability Disclosure Standards
The International Organization of Securities Commissions (IOSCO) has issued a press release announcing progress made by its Sustainable Finance Task Force and upcoming work with the International Financial Reporting Standards...
March 01, 2021
EC Agrees to Equivalence Recognition for SEC-Registered Central Clearing Counterparties
The European Commission recently issued a decision that recognizes equivalence of the SEC’s regulatory framework for SEC-registered central clearing counterparties (CCPs or clearing agencies) to the European Market Infrastructure Regulation...
February 10, 2021