RegTech Focus: September 2024

Welcome to the Q3 2024 edition of RegTech Focus, your go-to source for navigating the complex landscape of regulatory compliance. In each issue, we'll bring you curated content, insightful analysis of current and emerging regulations, and updates from the world of regulatory technology.

After a quieter summer, we’re back and ready to dive into an exciting lineup of regulatory insights and updates. While July and August offered a chance to recharge, behind the scenes at AQMetrics, we’ve been working hard to prepare for a busy and eventful close to the year.

In this edition, we’re delivering the essential industry insights and curated content to keep you informed on emerging regulations and evolving compliance standards.

Stay tuned for what’s to come!

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In this issue:

Emerging Regulations Watch

In this series, we delve into the most significant upcoming regulatory changes, highlight potential risk areas, and present practical strategies to help you navigate the evolving regulatory landscape.

SEC Rule 13f-2: Implications for Investment Managers and Technology

The SEC has recently adopted Rule 13f-2, a measure aimed at improving transparency in the equity markets by focusing on short-selling activities. The rule, set to take effect in early 2025, requires investment managers to report detailed data on their short positions and activities each month through the newly introduced Form SHO. Read more.

CSRD in Europe: A Phased Approach

As the modern world encourages businesses to adopt an ethical and responsible approach to conducting business, the Corporate Sustainability Reporting Directive (CSRD) brings about crucial changes to the reporting frameworks businesses must comply with, aiming to enhance transparency and uniformity across financial frameworks throughout the EU. ESEF reporting is a mandatory requirement for many companies within the EU to disclose their financial statements and sustainability information in a standardised electronic format. Read more.

Enhancing Proxy Voting Transparency: SEC's Amendments to Form N-PX

The Securities and Exchange Commission (SEC) has taken a significant step towards bolstering proxy voting transparency by adopting rule and form amendments to Form N-PX. These changes aim to standardize mutual fund proxy voting disclosures, providing investors with a clearer and more accessible view of voting records. Read more.

Webinar: SEC's Form PF Amendments for Private Funds: What You Need to Know

The SEC’s Form PF amendments coming into effect in 2025 mark a significant shift in regulatory oversight for private funds. Whether you're an advisor or fund manager, understanding these updates is crucial to maintaining compliance and safeguarding investor interests. In this webinar, we review the key changes to Form PF, implications to reporting requirements, and best practices for SEC compliance. Find out more & register.

Get the 2024 Emerging Regulatory Change Checklist so you never miss a beat.

AQMetrics Insights: Beyond Our Walls

TSAM New York 2024: Meet us at Booth 11!

AQMetrics will be at TSAM (The Summit for Asset Management) in New York on September 17, 2024! If you’re attending, make sure to stop by Booth B11 to discover how our award-winning risk, compliance, and regulatory reporting solutions can enhance operational efficiency for asset managers.

Our team will be on-site, ready to share insights, discuss the latest industry trends, and show how we can support your compliance journey. 📅Event info.

AQMetrics' Virtual Demo Day: There's still time to register!

Join us for our upcoming Virtual Demo Day on September 12, 2024, where we’ll showcase our award-winning RegTech solutions designed to enhance your compliance processes. The day will feature bite-sized demos of key solutions including Form PF, AIFMD Annex IV, Shareholding Disclosures, and MiFID II Transaction Reporting, among others. Don't miss the chance to see these solutions in action and discover how they can transform your compliance strategies. 📝Register now.

More of this quarter's top reads:

• Get Ahead of CSSF Circular 24/856 Investment Breach Monitoring. Read the blog.

• In the News: AQMetrics Named Among Top 14 Regulatory Reporting Providers to Watch in 2024.

By AQMetrics

As we wrap up this shorter edition of RegTech Focus, we’re already gearing up for our Q4 newsletter, packed with more regulatory insights, updates, and thought leadership to help you start 2025 dynamically. Expect deeper dives into new regulations, success stories, and the latest industry trends to keep you informed and prepared for the year ahead.

Stay tuned!

This is a shorter version of our RegTech Focus newsletter, which brings you in-depth analysis from the world of RegTech.

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