Regulatory Updates May 2025 – APAC Region

This APAC regulatory updates includes publication of the Countering Proliferation Financing – Industry Perspectives on Best Practices Paper, MAS Consultation…
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The FRR Evolution: Strengthening Compliance in Asset Management Webinar

The Hong Kong Securities and Futures Commission (SFC) has introduced key amendments to the Securities and Futures (Financial Resources) Rules…
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Regulatory Update May 2025 – US Region

Stay informed with our Regulatory Update Navigate the ever-evolving regulatory landscape with our Regulatory Update. Our team of compliance experts…
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Market Sounding in Hong Kong under SFC Regulations

The Securities and Futures Commission (hereinafter “SFC”) has introduced Market Sounding Guidelines (hereinafter the “Guideline”), effective from 2 May 2025.…
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BE-180 Benchmark Survey – Deadline Fast Approaching

Every five years, the Bureau of Economic Analysis (BEA) conducts the BE-180 Benchmark Survey, the most comprehensive survey of US…
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Regulatory Update May 2025 – UK Region

This UK regulatory update includes a roundup of the latest news and publications from the Financial Conduct Authority (FCA), including…
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MAS Reminder - Anti-Money Laundering (AML) and Countering the Financing of Terrorism (CFT) enforcement

As Singapore’s financial sector continues to develop in size and complexity, the Monetary Authority of Singapore (“MAS”) is continually taking…
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Regulatory Update May 2025 – ME Region

This edition includes – DFSA Dear MLRO Letter on National Risk Assessment, DFSA Amends Legislation following Consultation Paper 161 “Enhancing…
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Regulation S-P Amendments are Here

The US Securities and Exchange Commission (SEC) has finalized significant amendments to Regulation S-P (Reg S-P), which governs how financial…
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The SFC’s Financial Resources Rules – what you need to know

Regulatory background The Financial Resources Rules (hereinafter “FRR”) stipulated by Cap. 571N Securities and Futures (Financial Resources) Rules (hereinafter “SFO…
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SFC’s Revised FRR Form and New Reporting Requirements for Hedge Fund Managers

Regulatory Shifts for Hedge Fund Managers For the recent years, there have been growing concerns for large hedge fund managers…
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Navigating Conflicts of Interest: DFSA and FSRA Requirements for Authorised Firms

Conflicts of interest may present a significant risk to the integrity of financial services. Both the Dubai Financial Services Authority…
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Regulatory Update April 2025 – US Region

This US Regulatory Update includes Amendments to Form PF, Extension to Form N-PORT, New Co-Investment Relief for BDCs and CEFs.
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Regulatory Update April 2025 – APAC Region

This APAC Regulatory Update includes Consultation Paper on the Proposed Amendments to Anti-Money Laundering and Countering the Financing of Terrorism…
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Building a Compliant and Effective Whistleblowing Framework: Key Considerations for Firms

A robust whistleblowing framework is essential for firms operating under the Dubai Financial Services Authority (‘DFSA’). Ensuring your organisation complies…
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Regulatory Update April 2025 – UK Region

This UK regulatory update includes a roundup of the latest news and publications from the Financial Conduct Authority (FCA) including…
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Prepare Now for the 2025 BE-10 Benchmark Survey (US Direct Investment Abroad)

Every five years, the Bureau of Economic Analysis (BEA) conducts the BE-10 Benchmark Survey, the most comprehensive survey of US…
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