We interview compliance headhunter Nick Litwinek in the first of a series designed to help compliance, risk, and legal practitioners to find, secure, and manage high-quality compliance talent across regulated industries.
Asset managers
The SEC approved Dimensional Fund Advisors to offer dual-class funds, allowing open-end funds to have both ETF and mutual fund share classes.
IOSCO has rejected calls for an outright ban, recognizing that pre-hedging is necessary for dealers to provide liquidity and sharp pricing.
Climate Financial Risk Forum publishes handbook on nature, adaptation, and new scenario tools
The growing friction has led to many asset managers taking a more cautious approach with their public messaging.
Non-EU firms may be indirectly affected by the RTS and guidelines if they have subsidiaries or branches in the EU.
Our at-a-glance guide to a busy week of FCA activity.
Internal productivity, AML/CFT and market analysis and trading insights found to be most common use cases.