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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Regulatory Update April 2025 – ME Region

This edition includes – UAE Complete National Risk Assessment on AML/CFT, FSRA Issues Consultation Paper on Cyber Risk, DFSA Issues…
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Preparing for FinCEN’s New AML Rule: Why Investment Advisers Should Act Now

Effective January 1, 2026, investment advisers registered with the Securities and Exchange Commission (RIAs) and exempt reporting advisers (ERAs) will…
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The FCA’s Smaller Asset Managers and Alternatives Business Model Review

On 8th May 2025, the Financial Conduct Authority (“FCA”) published the results of its review of business models for smaller…
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Regulatory Update March 2025 – US Region

This US Regulatory Update includes – SEC No-Action Relief on Rule 506(c) Verification, Extension of Compliance Deadlines for the Names…
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Reminder of SFC’s Strategic Priorities for 2024-2026

In January 2024, the Hong Kong Securities and Futures Commission (SFC) unveiled its Strategic Priorities for 2024-2026, aiming to strengthen…
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Regulatory Update March 2025 – APAC Region

This APAC Regulatory Update includes – issuance of response to consultation paper on proposed legislative amendments to the requirements for…
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Regulatory Update March 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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DFSA High-Level Cyber Risk Management Guide

In line with the Dubai Financial Services Authority (‘DFSA’) regulations, specifically General Rulebook (‘GEN’) Rule 5.5 on Cyber Risk Management,…
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FSRA IT Risk Management Expectations: A High-Level Summary

The Financial Services Regulatory Authority (‘FSRA’) IT Risk Management Guidance, published in November 2024, provides a structured approach to help…
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