The SEC has continued to advance its vast regulatory agenda through the summer months. As temperatures remain high so too do US financial regulation demands. Continue reading No Summer Slowdown for the SEC as US Financial Regulation Heats Up
The SEC announced a nine-month filing delay for Form N-PORT, but make sure to read the fine print! Continue reading Read the Fine Print: SEC Reporting Modernization Delay
Brian Kapko, Director of Regulatory Reporting Operations for Confluence Technologies, highlights the filing and data challenges the new rules present and how firms can prepare for next June. Continue reading “Five Questions on the SEC’s Reporting Modernization and Liquidity Rules”
Your guide to navigating the regulatory landscape in 2017. Continue reading “Welcome to the Jungle”
Looking at the year ahead, we’ve identified some of the key FinReg issues for asset managers in 2017. Continue reading “Here We Go Again: 10 FinReg Issues for 2017”
The On the Regs contributors share their thoughts on the key regulatory challenges for asset managers in 2017. Continue reading “2017 Global Regulatory Outlook: What Can Asset Managers Expect?”