Browsing: Regulatory


SEC Plans to Mandate New Disclosures for ESG Funds

Yesterday, the SEC voted 3 to 1 to propose new rules requiring investment funds that market themselves as “ESG” must provide standardized data backing up their marketing claims.  Additionally, the ...
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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 ...

SEC’s Proposed Climate Change Disclosure Still Faces Hurdles

New rules requiring US public companies to disclose climate change data face challenges that will test the Securities and Exchange Commission’s commitment to climate reporting.  Comments on the draft regulation ...

Ninth Circuit Rules (Again) in Favor of Web Scraping But LinkedIn Will Keep Litigating

The San Francisco-based Ninth Circuit Court of Appeals concluded that the Computer Fraud and Abuse Act (CFAA), a federal anti-hacking law that bars unauthorized access to computer systems, does not ...

Castine Adds ESG Tracker to Compliance Wheelhouse

Castine, a New Jersey-based provider of cloud-based commission, trade and compensation reporting, and compliance management solutions, recently announced the release of ESG Tracker to help investment managers track all ESG ...
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The Next Wave of MiFID is ESG

New MiFID regulation requiring the incorporation of clients’ sustainability preferences into suitability requirements will go into effect this summer, as part of the vast new European ESG regulations.  The new ...

Fireside Chat: Compliance Best Practices for App Usage Data

This Thursday, February 17th, 2022 at 11:00 am, Integrity Research Associates will host the next in its series of live ResearchInsights webinars and fireside chats featuring Jonathan Kay, the CEO ...
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The CUSIP – A Tax on Financial Market Innovation and Transformation

The following is a guest article written by Tim Baker, CFA principal of Blue Sky Thinking, LLC which provides management consulting, project management and strategic business consulting in the big ...

FCA Ends MiFID Research Rules on SME Issuers and IRPs

The UK’s Financial Conduct Authority (FCA) recently announced that it will scrap MiFID II inducement rules on research for companies with market caps of less than £200 mln, as well ...
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