IAA Supports Australian Licensing Exemptions for FFSPs
The IAA commends the Australian Government for proposing to restore previously well-established regulatory relief provided for FFSPs that are licensed and regulated in jurisdictions with comparable financial service rules and obligations.
January 14, 2022
IOSCO Publishes Recommendations on ESG Ratings and Data Product Providers
IOSCO's Board -- which includes the SEC and CFTC -- has issued a final report that lays out recommendations on ESG ratings and data products providers.
November 30, 2021
IOSCO Report Recommends Sustainability-Related Improvements for Asset Managers
IOSCO issues a Final Report with recommendations to improve sustainability-related practices, policies, procedures and disclosures in our industry.
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 Consultation Paper on potential options for the regulatory regime that will apply to foreign financial services providers in Australia.
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.
May 18, 2021
Navigating Regulatory Change in Europe | Four Hot Topics
U.S. investment advisers with European clients or prospects should pay particular attention to these four issues discussed by panelists at the 2021 IAA Investment Adviser Compliance Conference.
March 16, 2021
IOSCO Presses for Globally Consistent Sustainability Disclosure Standards
IOSCO has issued a press release announcing progress made by its Sustainable Finance Task Force and upcoming work with the International Financial Reporting Standards Foundation on sustainability disclosure 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 to the European Market Infrastructure Regulation rules.
February 10, 2021
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