Investment advisers must comply with the Treasury’s Outbound Investment Rule, which could necessitate changes in the investment strategies and governance of (i) funds advised by U.S. investment advisers and (ii) offshore funds with U.S. person investors.
June 09, 2025
German Police Raid Firm for Alleged ESG Misrepresentations
The raid follows public reports of investigations by the SEC and DOJ into whether DWS has misled investors on its use of ESG considerations in its investment practices.
June 01, 2022
IAA Supports Australian Licensing Exemptions for FFSPs
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January 14, 2022
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
SEC, ECB Sign Agreement for Oversight of Security-Based Swap Dealers
In their first Memorandum of Understanding (MOU), the SEC and the European Central Bank (ECB) have agreed to cooperate and exchange information related to the supervision, enforcement, oversight, and cross-border...
August 17, 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
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