Is compliance outsourcing right for your firm?

Key considerations for senior management when determining if outsourcing is suitable for your firm.
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Regulatory Compliance Updates February 2023 – APAC Region

Have a question about any of the below updates? Get in touch with our APAC Compliance solutions team today. 23…
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FCA publishes Multi-Firm Review on FCA solo-regulated Fast-Growing Firms

On 10 March 2023, the Financial Conduct Authority (FCA) published a Multi-Firm Review summarising its findings and expectations of FCA…
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Regulatory Update: Middle East Edition – February 2023

This edition includes - ‌Cyber Risk Management Consultation Paper released by DFSA, DFSA release CP148 on the regulation of family…
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Regulatory Update: UK Edition – February 2023

This UK regulatory update includes - UK sets out plans to regulate cryptoassets, FCA DP23/3 on Updating and improving the…
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FCA Speech on the Consumer Duty – Key Takeaways

On 22 February 2022, the Financial Conduct Authority (FCA) published a speech by Sheldon Mills, Executive Director, Consumers and Competition,…
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The SEC's cyber security rules are coming in April 2023

By now everyone should understand the SEC is proposing rule 206(4)-9 under the Advisers Act and 38a-2 under the Investment…
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Waystone’s FCA Authorisation Clinic

If your firm is considering becoming directly authorised by the FCA during 2023, watch our virtual FCA authorisation clinic which…
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Regulatory Outlook and Trends for 2023

MAS Priorities for 2023 Corporate Disclosures MAS will enhance effectiveness in pursuing corporate disclosure breaches, including collaboration with key regulatory…
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Regulatory Update: UK Edition – January 2023

Have a question about any of the updates below? Get in touch with our UK/EU Compliance Solutions team today to…
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Regulatory Compliance Updates January 2023 – APAC Region

19 January 2023 - Form 26 - Notice of Commencement of Business/Additional Regulated Activities by a Person Exempted from Holding…
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Information Security and ESG Identified as Key SEC 2023 Exam Priorities

On February 7, 2023, the SEC released its 2023 Examinations Priorities.
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Regulatory Update: Middle East Edition – January 2023

This edition includes - DFSA representative office sectoral review, New ADGM Authority and RA CEOs appointed, CBUAE new AML guidelines…
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REMINDER: MAS Revised Guidelines on Business Continuity Management (BCM)

The MAS Guidelines on Business Continuity Management (BCM) set out the need for financial institutions (FIs) to take an end-to-end…
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FCA publishes its multi-firm review of Consumer Duty implementation plans

On 25 January 2023, the Financial Conduct Authority (FCA) published its multi-firm review of Consumer Duty implementation plans.
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Regulatory Update: UK Edition – December 2022

This UK regulatory update includes - Chancellor of the Exchequer unveils “Edinburgh Reforms”, PRA speech on Implementing Basel 3.1 in…
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FINRA highlights cyber security as one of the top risks facing the financial industry

FINRA recently released their “2023 Risk Profile” report, highlighting cyber security as one of the major threats confronting the financial…
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