The U.S. Securities and Exchange Commission (SEC) announced on October 20, 2026, that it has entered into a new Memorandum of Understanding (MOU) with France’s Autorité des Marchés Financiers (AMF), establishing a framework for regulatory cooperation and information sharing.
Category Archives: GDRP
The U.S. Securities and Exchange Commission (SEC) recently approved the registration of several investment adviser firms based in Israel. This is a notable development given the longstanding data protection concerns that previously complicated registration efforts by advisers operating under Israel’s privacy framework.
SEC Opens Path to Register Swiss Investment Advisers
August 02, 2025
Background: Cross-Border Oversight and Data Protection Laws
For many years, the U.S. Securities and Exchange Commission (SEC) has maintained that, in order to register a non-U.S. investment adviser firm under the Investment Advisers Act of 1940, it must be able to access the registrant’s books and records for examination purposes.
There is good news for investment adviser firms located in the United Kingdom (“UK”) desiring to register as an investment adviser firm with the United States Securities and Exchange Commission (“SEC”).
