Regulatory Alerts2021-09-02
New Rules, Major and Sundry Amendments to the Rules and Regulations of the Commission
This regulatory update introduces comprehensive frameworks for Robo-Advisory Services and Trade Repositories, while establishing specific processing fees for Exchange-Traded Derivatives. It mandates strict operational, compliance, and governance standards for these digital and repository services, including technology risk management and anti-money laundering controls. Additionally, the document amends existing rules governing mergers, take-overs, acquisitions, and divestments to enhance oversight, standardize filings, and clarify requirements for shareholder protections and corporate restructuring processes.
Share