Podcast: ESMA Report: Undue Pressure on Companies
MiFID II ESG product governance amendments in force from 22 November 2022 The new product governance amendments will require firms to specifically take into account ESG factors throughout their product governance processes....more
MiFID II is Europe’s new financial regulation for investment business which came into effect on 3 January 2018. The banking and legal industries seem to be unsure about whether or not MiFID II treats both issuers and buy-side...more
Investment Adviser Chief Compliance Officer Blamed in SEC Lawsuit for President’s Theft of Client Funds; SEC Commissioner Criticizes Enforcement Actions Against CCOs Generally - The Securities and Exchange Commission...more