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This US Regulatory Update includes – SEC No-Action Relief on Rule 506(c) Verification, Extension of Compliance Deadlines for the Names…

The Corporate Transparency Act (CTA) requires certain entities (known as "Reporting Companies") to report Beneficial Ownership Information (BOI) to the…

On March 27, 2025, the Securities and Exchange Commission (SEC) convened a roundtable at its Washington, D.C. headquarters to address…

As businesses increasingly shift their operations to the cloud, the promise of scalability, flexibility, and cost efficiency is hard to…

On March 19, 2025, the SEC’s Division of Investment Management released new FAQs addressing the Marketing Rule, specifically clarifying how…

The US Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) published its annual examination priorities (“Priorities”) for the…

The US Securities and Exchange Commission (SEC) has launched the Cyber and Emerging Technologies Unit (CETU) as of February 20,…

When discussing cyber security, many focus on firewalls, encryption and cutting-edge technologies. However, the greatest vulnerability in most organizations isn’t…

On January 29, 2025, the Securities and Exchange Commission (“SEC”), together with the Commodity Futures Trading Commission (“CFTC”), announced an…

Welcome to 2025! As we settle into the new year, it's crucial to take stock of the ever-evolving cyber security…

The European Securities and Markets Authority (“ESMA”) has issued guidelines on funds’ names using Environmental, Social and Governance ("ESG") or…

Firms are required to renew their Financial Industry Regulatory Authority (FINRA) registrations on an annual basis, beginning in the fourth…

The Corporate Transparency Act (CTA) requires certain entities (known as "Reporting Companies") to report Beneficial Ownership Information (BOI) to FinCEN,…

Compliance Date: Compliance with the revised Schedule 13G filing deadlines was mandated on September 30, 2024. Compliance with the structured…

In today’s cyber landscape, where threats are becoming increasingly complex and frequent, having an incident response plan ("IRP") is essential…

Effective Date: October 15, 2024

On August 28, 2024, the Financial Crimes Enforcement Network ("FinCEN") issued a final rule expanding the definition of “financial institution”…

Compliance Date: January 2, 2025