Tag: International
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
Tags: International
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
Tags: ESG, International, IOSCO, Sustainable Investing
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
Tags: ESG, International, IOSCO, Sustainable Investing
Navigating Regulatory Change in Europe | Four Hot Topics
Navigating Regulatory Change in Europe | Four Hot Topics March 16, 2021 With Brexit roiling the waters, the regulatory environment in Europe is particularly dynamic at the moment. In the...
March 16, 2021
Tags: Compliance Conference, ESG, International
IAA Comments on Australian Consultation on Foreign Financial Services Providers Regulation
IAA Comments on Australian Consultation on Foreign Financial Services Providers Regulation August 2, 2021 The IAA recently filed a comment letter with the Australian Government on its July 9...
August 02, 2021
Tags: International
UK FCA, IOSCO Issue Consultations on ESG, Focus on Asset Management and Products
UK FCA, IOSCO Issue Consultations on ESG, Focus on Asset Management and Products July 11, 2021 The UK Financial Conduct Authority (FCA) has issued a consultation paper on climate-related...
July 11, 2021
Tags: ESG, International
UK FCA Proposes to Permit Re-Bundling for Research Under MiFID II Following Similar EU Changes
UK FCA Proposes to Permit Re-Bundling for Research Under MiFID II Following Similar EU Changes May 18, 2021 The UK FCA issued a consultation recently to scale back limits...
May 18, 2021
Tags: Commissions, European Commission, International, MiFID II, Research
IOSCO Presses for Globally Consistent Sustainability Disclosure Standards
IOSCO Presses for Globally Consistent Sustainability Disclosure Standards March 1, 2021 The International Organization of Securities Commissions (IOSCO) has issued a press release announcing progress made by its Sustainable...
March 01, 2021
Tags: ESG, International
EC Agrees to Equivalence Recognition for SEC-Registered Central Clearing Counterparties
EC Agrees to Equivalence Recognition for SEC-Registered Central Clearing Counterparties February 10, 2021 The European Commission recently issued a decision that recognizes equivalence of the SEC’s regulatory framework for...
February 10, 2021
Tags: European Commission, International
UK Regulators to Asset Managers Prepare for the End of LIBOR
UK Regulators to Asset Managers: Prepare for the End of LIBOR March 25, 2020 The UK’s Financial Conduct Authority has sent a letter to all UK asset management firms...
March 25, 2020
Tags: International, Libor
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