The U.S. Securities and Exchange Commission’s Division of Examinations (Exams) recently issued a Risk Alert discussing observations from recent examinations on how investment advisers, registered investment companies, and hedge funds approach environmental, social, and governance (ESG) investing.
Five months after it was commissioned, and just three months after the call for input, the FCA has published the final report from the Woolard Review into change and innovation in the unsecured credit market.
Our new episode of FInsight: Global Financial Institutions Industry Podcast focuses on the regulatory environment for financial institutions (FI) in China.
The UK’s fintech sector is due to get a major boost in reforms suggested as part of the Kalifa Review of UK Fintech. In our latest alert, we provide a high level overview of the Review’s recommendations, and highlight some of the key ways in which the Review may fundamentally reshape financial services regulation and policy in the UK.
In a speech delivered on 17 March 2021 for the HM Treasury Women in Finance Charter Annual Review Launch 2021, FCA CEO Nikhil Rathi sent a warning to the financial services industry that diversity and inclusion should form a core part of firm and senior management culture, and that the regulator will start taking action where it fails to see improvements made.
SEC Acting Chair Allison Herren Lee’s comments highlighted the SEC’s various work streams and areas of focus, while also looking ahead to what still needs to be accomplished.