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Regulatory Update January 2025 – ME Region
This edition includes – DFSA Publishes Findings from the 2024 Whistleblowing Thematic Review, ADGM reduces Commercial License Fees, SCA Drafts…
February 14, 2025
Regulatory Update December 2024 – ME Region
This edition includes – FSRA introduces a Regulatory Framework concerning Fiat-Referenced Tokens; UAE signs multiple MoUs with international bodies in…
January 20, 2025
Strengthening AML/CFT Frameworks: Reinforcing Singapore’s Defenses Against Money Laundering and Terrorism Financing
In early 2022, the Singapore police force launched a comprehensive and coordinated investigation into a group of individuals operating covertly.…
January 6, 2025
MAS FAQs – Licensing and Registration of Fund Management Companies in Singapore
MAS has updated a list of FAQs relating to the licensing and registration of Fund Management Companies (“FMCs”) in Singapore.
January 4, 2025
Compliance Alert: Key MAS Regulatory Reminders for Year-End 2024
As we approach the end of 2024, this update serves as an important reminder of key regulatory requirements from the…
December 18, 2024
Strengthening governance and AML standards: Key insights from recent SFC and MAS Circulars
The Securities and Futures Commission (“SFC”) and the Monetary Authority of Singapore (“MAS”) have issued significant guidance to address ongoing…
December 16, 2024
Regulatory Update November 2024 – APAC Region
This APAC regulatory update includes – Monetary Authority of Singapore ("MAS") is implementing mandatory reference checks for Financial Institutions ("FIs"),…
December 13, 2024
Regulatory Update November 2024 – ME Region
This edition includes – Dubai Financial Services Authority issues Dear SEO Letter 'Key Themes and findings from the Cyber Thematic…
December 12, 2024
ESMA sets Guidelines for ESG and Sustainability-Related Fund Names
The European Securities and Markets Authority (“ESMA”) has issued guidelines on funds’ names using Environmental, Social and Governance ("ESG") or…
December 11, 2024
FCA Guidance on Consumer Duty Reports
The Financial Conduct Authority (“FCA”) has today issued the findings from its review into firms’ approaches to completing the first…
December 11, 2024
Regulatory Update November 2024 – UK Region
This UK regulatory update includes – FCA consults on investment research payment optionality for fund managers, Home Office issues guidance…
December 10, 2024
Cyber security trends to watch in 2025 - predictions and preparations
As 2024 draws to a close, the cyber security landscape continues to evolve at a rapid pace. Businesses, governments, and…
December 4, 2024
FINRA renewal reminder
Firms are required to renew their Financial Industry Regulatory Authority (FINRA) registrations on an annual basis, beginning in the fourth…
November 22, 2024
Regulatory Update October 2024 – UK Region
This UK regulatory update includes – FCA publishes Market Watch 80, Interim Regulatory Initiatives Grid published, FCA publishes the results…
November 22, 2024
Corporate Transparency Act
The Corporate Transparency Act (CTA) requires certain entities (known as "Reporting Companies") to report Beneficial Ownership Information (BOI) to FinCEN,…
November 19, 2024
Regulatory Update October 2024 – APAC Region
This APAC regulatory update includes – updates on Singapore’s national AML strategy, AML/CFT supervisory expectations from recent inspections, FAQs on…
November 18, 2024
UK Chancellor’s Mansion House Speech: Points of Interest for FCA-Regulated Firms
In her inaugural Mansion House speech, UK Chancellor Rachel Reeves outlined a comprehensive set of plans to grow the UK…
November 15, 2024