Regulation and Compliance

Lead Content

Sizing the Green Economy: Green revenues and the EU taxonomy (FTSE Russell, Sep 2020)

The greening of the global economy presents significant opportunities to investors. However, investors and policymakers face a common challenge: How can green business activities be systematically…

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FTSE Russell

15 Sep 2020

Latest posts

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Financial Services Regulatory Bulletin (PwC, Oct 2020)

PwC's regular monthly bulletin of all things regulatory across the financial services sector.

Webinar: The asset servicing model of the future (State Street, Oct 2020)

Ron O’Hanley, State Street's Chairman and CEO, joined the virtual Sibos 2020 conference to share his perspective on the future of our industry. In conversation with Dominic Hobson, co-founder of…

TOP RECENT POSTS

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Uncleared Margin Rules (UMR) Pulse Survey (State Street, 2020)

Implementation Statement Guidance Report (PLSA, 2020)

Quarterly Regulatory Insights: EU version (State Street, Jul 2020)

UK DB Pension Scheme Leverage and Liquidity Survey (The Pensions Regulator, 2020)

Is the Coronavirus Rocking the Foundations of Capital Markets? (CFA Institute, Jun 2020)

Enhanced Margin Management Under UMR (State Street, 2020)

Regulations and Responsibilities Affecting Asset Managers (Baker McKenzie, 2020)

Webinar: The asset servicing model of the future (State Street, Oct 2020)

Aligning Responsible Investing with Securities Lending (State Street, 2020)

Emerging Europe and the Capital Markets Union (Bruegel, 2020)

Accurate, Enterprise-Wide Cash and Positions with an Investment Book of Record (State Street, Sep 2020)

Financial Services Regulatory Bulletin: Sep 2020 (PwC)

TOP NEWS AND BLOGS

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SEC Charges Andeavor for Inadequate Controls Around Authorization of Stock Buyback Plan

SEC and CFTC to Hold a Joint Open Meeting on October 22

SEC Appoints PCAOB Chief Auditor Megan Zietsman to PCAOB Board

Tamara Brightwell Named Deputy Director of Division of Corporation Finance’s Disclosure Review Program

SEC Updates Auditor Independence Rules

SEC Releases Agenda for October 26 Roundtable on Regulation Best Interest and Form CRS

Board Member James G. Kaiser to Retire From the PCAOB; Contributed Substantially to PCAOB Strategic Plan and the Use of Technology to Enhance Audit Quality

SEC Awards $800,000 to Whistleblower

SEC Charges Brazilian Meat Producers With FCPA Violations

Jessica Kane Named Director of Division of Corporation Finance’s Disclosure Review Program