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Corporate Transparency Act – Important Revisions
The Corporate Transparency Act (CTA) requires certain entities (known as "Reporting Companies") to report Beneficial Ownership Information (BOI) to the…
April 15, 2025
Key Changes to MAS Guidelines on Licensing and Conduct of Business for Fund Management Companies
The Monetary Authority of Singapore (MAS) has updated its Guidelines on Licensing and Conduct of Business for Fund Management Companies…
April 11, 2025
Key Takeaways from the SEC Roundtable on Artificial Intelligence in the Financial Industry
On March 27, 2025, the Securities and Exchange Commission (SEC) convened a roundtable at its Washington, D.C. headquarters to address…
April 7, 2025
Cloud Migration Security: Best Practices and Pitfalls
As businesses increasingly shift their operations to the cloud, the promise of scalability, flexibility, and cost efficiency is hard to…
April 2, 2025
Key Changes to LFMC Form Filing Requirements: What You Need to Know
As part of its ongoing efforts to enhance regulatory efficiency and streamline processes, the Monetary Authority of Singapore (“MAS”) has…
April 1, 2025
Marketing Compliance: SEC Updates to FAQs
On March 19, 2025, the SEC’s Division of Investment Management released new FAQs addressing the Marketing Rule, specifically clarifying how…
March 20, 2025
Regulatory Update February 2025 – APAC Region
This APAC Regulatory Update includes – Financial Institutions (Miscellaneous Amendments) Act 2024, Asset and Wealth Management Activities Survey 2024 and…
March 17, 2025
SEC 2025 Exam Priorities for Investment Advisers
The US Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) published its annual examination priorities (“Priorities”) for the…
March 14, 2025
Regulatory Update January 2025 – APAC Region
This APAC regulatory update includes – Application for Approval to Obtain Effective Control, Basic Financial Planning Guide, Guidelines for Market…
February 26, 2025
The Human Factor in Cyber Security: Understanding the Impact of Human Error
When discussing cyber security, many focus on firewalls, encryption and cutting-edge technologies. However, the greatest vulnerability in most organizations isn’t…
February 25, 2025
Practical Implications of the SFC’s Guidelines for Market Soundings - Immediate Actions for Fund Managers
The Securities and Futures Commission (“SFC”) has published the Hong Kong Market Sounding Guidelines (the “Guidelines”), which will take effect…
February 17, 2025
Compliance Alert: SEC Extends Form PF Amendments Compliance Date
On January 29, 2025, the Securities and Exchange Commission (“SEC”), together with the Commodity Futures Trading Commission (“CFTC”), announced an…
February 3, 2025
The FSRA’s Growing Focus on AML: A Recent Penalty Underscores the Risks for Firms
The Financial Services Regulatory Authority (“FSRA”) of the Abu Dhabi Global Market (“ADGM”) has recently issued a significant regulatory penalty,…
January 27, 2025
Cyber Security Awareness for Businesses and Employees: Best Practices and Common Pitfalls
In today’s digital world, cyber security is more than just an IT issue, it's a business-critical concern.
January 15, 2025
Regulatory Update December 2024 – APAC Region
This APAC regulatory update includes – Information Paper on Artificial Intelligence Model Risk Management, Monetary Authority of Singapore Guidelines on…
January 15, 2025
The Evolution of Cyber Threats: Preparing for 2025’s Security Challenges
Welcome to 2025! As we settle into the new year, it's crucial to take stock of the ever-evolving cyber security…
January 13, 2025
The latest MAS enforcement actions
The Monetary Authority of Singapore has taken action against individuals for conducting regulated activities in Singapore without holding appropriate licenses.
July 28, 2022