Browsing: Compliance


Webinar: SEC No Action Relief for MiFID II Clients to End

Global agency broker, StoneX will be hosting a live webinar featuring three industry experts this Tuesday, September 20th at 11:00 am to discuss the impact of the SEC’s recent announcement ...

Two More States Pass Data Privacy Laws

Although the US Congress may finally be getting serious about passing a national data privacy law, state-level regulations continue to proliferate.  Connecticut and Utah joined California, Colorado and Virginia in ...

FCA Warns It Will Crack Down on ESG Mislabeling

Earlier this week, the FCA warned the industry that it will scrutinize the marketing used by hedge funds and private equity firms about ESG related investment products to ensure they ...
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LinkedIn Gets Its Way Against hiQ As Meta Files New Web Scraping Cases

In a sad footnote to the landmark web scraping case hiQ Labs Inc v LinkedIn Corporation, a federal judge in San Francisco vacated the 2017 order that required Microsoft-owned LinkedIn ...
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US Data Privacy Legislation — With More Bite than GDPR — May Actually Happen

The US House of Representatives will be voting on a new data privacy law that passed out of committee with strong bipartisan support.  The new bill, which would largely supersede ...

SEC No-Action Letters on MiFID II Won’t Be Extended

Earlier this week, as part of his prepared remarks at the PLI: Investment Management 2022 conference, William Birdthistle the SEC Director, Division of Investment Management explained that the SEC does ...
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Alternative Data Provider Sensor Tower Beefs Up Compliance

Even before the SEC’s enforcement action against rival App Annie, app usage provider Sensor Tower became more forthcoming about its data collection methods, thanks to negative publicity.  The firm has ...
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Investigative Research Firm Blue Heron Research Adds More Compliance

Due diligence specialist Blue Heron Research Partners, now the largest investigative research firm focused on the buy-side, hired a former SEC Enforcement attorney as a supplement to the firm’s current ...
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SEC Extends Comment Period for Proposed Climate Change Disclosure

Under pressure from opponents of new rules requiring US public companies to disclose climate change data, the US Securities and Exchange Commission extended the deadline for comments by four weeks, ...
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Does Alternative Data Really Carry Insider Trading Risk?

The U.S. Securities and Exchange Commission’s Division of Examinations recently warned US investment advisers that it was finding deficiencies in their compliance processes relating to material non-public information (MNPI) associated ...
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