Mitigating 13D/G and N-PX filing risk in light of the SEC's exam 2026 priorities
The U.S. Securities and Exchange Commission (SEC) has signalled a clear shift in its Fiscal Year 2026 Examination Priorities: its scrutiny of Investment Advisers' Compliance Programs will be surgical, focusing on areas where basic, preventable errors persist.
Read moreFCA consultation: preparing for the UK SSR 2025 proposals
The UK Short Selling Regulation (UK SSR) is poised for a significant overhaul. While the existing framework remains active, the FCA’s release of Consultation Paper CP25/29 on 28 October 2025 signals an imminent, high-certainty transition to the Short Selling Regulations 2025 (SSR 2025).
Read moreSEC's 13D & 13G Filing Requirements: A Quick Guide to the 2024 Amendments
In a significant move that heralds a new era in securities regulation, the U.S. Securities and Exchange Commission (SEC) has amended the reporting rules for beneficial ownership under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. The amendments, announced in October 2023, bring about substantial changes to the filing deadlines for Schedule 13D and Schedule 13G, marking the first adjustment in nearly half a century.
In this blog, we delve into the details of the SEC's 13G and 13D amendments and analyze how they affect filings.
Read moreRule 13f-2 Explained: What Asset Managers Need to Know
The recent adoption of Rule 13f-2 by the Securities and Exchange Commission brings new transparency to short selling practices. Our latest blog delves into the critical aspects of this new rule, underscoring the need for an effective compliance strategy.
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