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 July 9 Consultation Paper on potential options for the regulatory regime that will apply to foreign financial...
August 02, 2021
UK FCA, IOSCO Issue Consultations on ESG, Focus on Asset Management and Products
The UK Financial Conduct Authority (FCA) has issued a consultation paper on climate-related disclosures for asset managers and investment products. The proposal would require asset managers, including UK UCITS management...
July 11, 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
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