Compliance in the Age of Content Overload with FINRA and Zurich Cover-More

"We're in an age of deregulation." Are we? It's one of the assumptions we hear most from compliance teams right now. The reality is more nuanced. 13D compliance remains on the SEC's enforcement agenda. This year alone, the current Commission has settled 13D cases over late filings linked to potential changes of control. The broad sweeps may have paused. The scrutiny hasn't. That was one of the key themes in our latest webinar on beneficial ownership and position reporting. Paul Chung, who leads AQMetrics' North America business, was joined by Kathleen (Katie) Klaben, Partner at Sidley Austin LLP, and Ivaylo Miladinov (Regulatory Expert, AQMetrics) to discuss the grey areas across 13D, 13G, 13F, Form N-PX and Section 16, and what compliance teams should prioritise over the next 12 months. Full recording in the first comment. #Compliance #RegTech #BeneficialOwnership #SEC #AssetManagement

ICYMI Green Street News spoke to Cerion Partners founding partner Sven Vollenbruch about target assets, markets and current sourcing opportunities Exclusive: Five questions for Cerion Partners’ Sven Vollenbruch | Marie-Noelle Sbresny https://lnkd.in/gEQQsuqY

⭕ "The market is at an unusually interesting point. The cost of capital has reset, #financing is more selective, a number of owners are facing refinancing or portfolio-construction decisions, and pricing has adjusted materially in many markets," says Sven Vollenbruch of Cerion Partners. "At the same time, demand for everyday goods and the #infrastructure that supports them is non-discretionary. That combination creates opportunities to invest into resilient cash flows at entry points that we believe are more attractive than in the previous cycle." For more about target assets, markets and current sourcing opportunities ⬇️

Green Street News spoke to Cerion Partners founding partner Sven Vollenbruch about target assets, markets and current sourcing opportunities Analysis | Five questions for Cerion Partners’ Sven Vollenbruch | Marie-Noelle Sbresny https://lnkd.in/gEQQsuqY

Join the conversation on October 28 and learn how leading jurisdictions are using regulatory sandboxes to advance innovation and modernize regulation. https://icont.ac/51nVw

Panel: Building Trust in Digital Asset Markets The next decade of digital assets will be shaped by trust, regulation, and institutional participation. A crucial conversation for the future of the market. 🎙️ Moderator： Robert Frenchman Partner | New York Dynamis LLP 💎Speakers： Ken Kawai Partner Anderson Mori & Tomotsune Benjamin Tsai Co-Founder & President Wave Digital Assets So Saito Founding Attorney
So & Sato Law Offices Marc Piano Director and Consultant Horizons Global 🌐 https://www.teamz.co.jp #TEAMZSummit2026 #DigitalAssets #Regulation #Web3

Strong shareholder rights are not just a governance issue — they are fundamental to well-functioning capital markets. Excellent piece by Nicolai Tangen on the gradual erosion of the bargain between companies and their shareholders. Equal voting rights, transparency, fair economic treatment and the ability to enforce those rights all contribute to investor trust. Weakening these protections may make markets more attractive to issuers in the short term, but risks undermining that trust — and ultimately increasing the cost of capital. Competition between financial centres is healthy. A race to the bottom on investor protection is not. #CorporateGovernance #ShareholderRights #LongTermInvesting #CapitalMarkets #InstitutionalInvesting

Navigating regulatory changes can feel like the rules of a game shifting mid-play. In 2019, significant legal modifications altered the landscape, impacting how units could be adjusted or removed from the existing system. Adapting to these shifts requires strategic foresight and flexibility. Understanding and responding to evolving regulations is key to sustained success. #RegulatoryChange #LegalUpdate #BusinessStrategy #Adaptability #Compliance #Resilience

AVC founder Paul Waterson detailed the group's investment and divestment approach as part of an industry panel discussion. Australian Venue Co. Craig Shearer Kickon Group Guy Wells Ben McDonald JLL | Larry Schlesinger https://lnkd.in/gC7MPAEg

Investor confidence should be built on facts, not manufactured urgency. Two recent SEC enforcement actions highlight the importance of accurate disclosures in private-market investing. The SEC alleges that investors were misled through artificial scarcity, misleading pricing claims, and inflated revenue and customer figures. While these cases involve allegations, they reinforce an important principle: Transparency and accountability are essential to investor protection. As a registered broker-dealer, ICON Capital Group emphasizes regulatory compliance, appropriate due diligence, and accurate offering-related communications. Claims about offering availability, pricing, and company performance should be supported by verifiable information, not pressure tactics or exaggerated projections. For issuers, credibility matters. For investors, reliable information supports informed decision-making. At ICON, responsible capital formation begins with transparency. For additional context, see the SEC enforcement announcements linked in the first comment. #ICONCapitalGroup #InvestorProtection #PrivateMarkets #CapitalFormation #BrokerDealer