All the latest
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SEC Releases Private Fund Adviser Reforms
On Wednesday, August 23, The US Securities and Exchange Commission (SEC) voted to adopt final amendments to the Investment Advisers Act…
August 24, 2023
SEC Charges 11 Firms with Widespread Recordkeeping Failures
Firms admit to wrongdoing and agree to pay penalties totaling $289 million
August 9, 2023
Regulatory Compliance Updates July 2023 – APAC Region
Have a question about any of the updates below? Get in touch with our APAC compliance team today. 31 July 2023 -…
August 8, 2023
MAS Proposed Framework for Single Family Offices
The Monetary Authority of Singapore (MAS) has proposed a new exemption framework for single family offices (SFOs) operating in Singapore.…
August 8, 2023
Regulatory Update: Middle East Edition – July 2023
This edition includes – ADGM Announce Sustainable Finance Regulatory Framework, DFSA Host Cyber Security Awareness Session, SCA Opens Virtual Asset…
August 7, 2023
FCA Authorisation Webinar for US Managers
Are you considering getting authorised in the UK? This webinar focuses on US investment firms that are thinking of setting…
August 3, 2023
SEC Adopts Rules on Cyber Security Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies
The SEC has voted today to adopt new rules requiring public companies to disclose material cyber security incidents and, to…
July 26, 2023
Regulatory Update: UK Edition – June 2023
This UK regulatory update includes – FCA Quarterly Consultation No. 40, EU and UK sign Memorandum of understanding on regulatory…
July 25, 2023
US State Data Privacy Laws – a comparison
As more US states introduce privacy laws, companies must be aware of and be able to manage the varying provisions…
July 12, 2023
Regulatory Update: Middle East Edition – June 2023
This edition includes – DFSA Publishes Consultation Paper on AML Rule Changes, ADGM Announce Abu Dhabi Finance Week, SCA Issues…
July 7, 2023
FCA publishes findings from its Liquidity Management multi-firm review
On July 6 2023, the Financial Conduct Authority (FCA) published findings from its Liquidity Management multi-firm review conducted on Authorised…
July 7, 2023
Regulatory Compliance Updates June 2023 – APAC Region
Have a question about any of the updates below? Get in touch with our APAC compliance team today. 28 June…
July 6, 2023
New Notice on Submission of Returns for Exempt Entities – Payment Service Providers
The Monetary Authority of Singapore (“MAS”) has introduced a new notice which requires exempt entities under the Payment Services Act…
July 6, 2023
Overview of the SEC’s Proposed Cyber Rules
A discussion regarding how the proposed cyber rules will impact your advisory business.
June 20, 2023
Business Email Compromise – is your business protected?
In today's digital age, email has become an essential tool for business communication. However, with the increasing reliance on email,…
June 16, 2023
Regulatory Update: UK Edition – May 2023
This UK regulatory update includes – FCA PS23/4 on Improving Equity Secondary Markets, FCA consults on proposed equity listing rule…
June 14, 2023