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SEC releases updated Marketing Rule FAQs
On January 11th, 2023, the SEC released an FAQ with responses to questions related to the adoption of amendments to…
January 16, 2023
Compliance obligation reminders for licensed Venture Capital Fund Managers (VCFMs)
Licensed Venture Capital Fund Managers (VCFMs) have various obligations that they must adhere to, and although not the same as…
January 13, 2023
Upcoming cyber regulations - what can you do to prepare?
On 4 January 2023, the current administration released its Fall 2022 regulatory agenda. In this document they outlined the upcoming…
January 13, 2023
The Personal Data Protection Act (PDPA) Singapore – what are the requirements?
The Personal Data Protection Act (PDPA) sets out clear minimum standards of safeguarding personal data in Singapore. It aims to…
January 10, 2023
Regulatory Update: Middle East Edition – December 2022
This edition includes - Federal Decree Law on corporate tax issued by UAE, ADGM introduce the Guiding Principles on Whistleblowing,…
January 9, 2023
Regulatory Compliance Updates December 2022 – APAC Region
Have a question about any of the updates below? Get in touch with the APAC Compliance Solutions team today. 28…
January 5, 2023
MAS Guidelines on Environmental Risk Management for Asset Managers
What are the MAS Guidelines on Environmental Risk Management for Asset Managers?
December 19, 2022
MAS Issues Revised Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies
In November, MAS updated its guidelines on the licensing, registration and conduct of business for Fund Management Companies (FMCs).
December 19, 2022
Regulatory Update: UK Edition – November 2022
This UK regulatory update edition includes – FCA's key priorities for the financial advice industry, consultation on the UK implementation…
December 13, 2022
Regulatory Update: Middle East Edition – November 2022
This edition includes - DFSA crypto token regulatory regime in force, DFSA release CP145 on regulatory requirements for lower risk…
December 7, 2022
Regulatory Compliance Updates November 2022 – APAC Region
To learn more about these changes, get in touch with our APAC Compliance team today. 29 November 2022 - Compliance…
December 6, 2022
ASEAN Central Banks sign MOU
At the recent G20 Leaders’ summit in Bali, Indonesia, Bank Indonesia, Bank Negara Malaysia, Bangko Sentral ng Pilipinas, MAS and…
November 29, 2022
Regulatory Update: UK Edition – October 2022
This UK regulatory update edition includes – FCA consultation on Sustainability Disclosure Requirements (SDR) and labels, PRA Dear CEO letter…
November 23, 2022
Notice for Firms on the FCA’s improved Appointed Representatives regime
The FCA’s new rules for Appointed Representatives (ARs) come into force on 8 December 2022.
November 23, 2022
Cyber Risk in the Middle East – How secure is your firm and its ecosystem?
Cyber-attacks are the unauthorised exploitation of systems, networks and technologies and they have been a high-risk item on companies' agendas…
November 15, 2022
The FCA’s new financial promotions regime for high-risk investments
Background on the FCA’s Financial Promotions Regime for HRIs This article summarises the significant features of the FCA’s forthcoming financial…
November 8, 2022
Regulatory Update: Middle East Edition – October 2022
This edition includes - DFSA issues feedback statement following CP143, UAE FIU publishes report on fraud crimes, trends and typologies…
November 7, 2022