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Regulatory Compliance Updates August 2022 – APAC Region
31 August 2022 - MAS imposes composition penalty of $375,000 on UOB Kay Hian Private Limited for business conduct and…
September 8, 2022
Regulatory Update: UK Edition – August 2022
This UK regulatory update edition includes - FCA Policy Statement on strengthening financial promotion rules for high-risk investments and firms…
September 7, 2022
The deadline for the Hong Kong SFC’s climate-related requirements is fast approaching
The Hong Kong Securities and Futures Commission (SFC) issued Consultation Conclusions on the Management and Disclosure of Climate-related Risks by…
August 30, 2022
Audit Preparation For Business Continuity Management
Revised Business Continuity Management (“BCM”) Guidelines were introduced in June 2022, setting out the principles that Financial Institutions (“FIs”) are…
August 29, 2022
Key Takeaways From MAS Information Paper on AML/CFT For External Asset Managers
The Monetary Authority of Singapore (MAS) has issued an information paper setting out MAS’ supervisory expectations of effective anti-money laundering…
August 29, 2022
Enhancing the Appointed Representative Regime
On 3 August 2022, the Financial Conduct Authority (“FCA”) published its long-anticipated policy statement: PS22/11 - Improvements to the Appointed…
August 17, 2022
The ADGM Data Protection Regulations Amendment 2022 - What you need to know
The Abu Dhabi Global Market (“ADGM”) released its comprehensive data protection regulations in 2021 (the “Regulations”), repealing the Data Protection…
August 17, 2022
Regulatory Update: UK Edition – July 2022
This edition includes - FCA publishes rules and guidance on new Consumer Duty, PRA Discussion Paper DP3/22 on critical third…
August 17, 2022
Cyber Security Solutions for the US Investment Advisers
SEC Focus on Cyber Security and Operational Resilience. The US Securities and Exchange Commission (“SEC”) has increased its focus on…
August 15, 2022
Regulatory Update: Middle East Edition – July 2022
This edition includes - DFSA issues consultation paper no.144 ‘Miscellaneous Changes’, ADGM issues white paper on sustainable finance, FATF issues…
August 10, 2022
Regulatory Compliance Updates July 2022 – APAC Region
28 July 2022 - CFC 02/2022 Disclosure and Reporting Guidelines for Retail ESG Funds This Circular sets out MAS’ expectations…
August 9, 2022
Is an outsourced CCO appropriate for your organization?
Waystone Compliance Solutions provides outsourced CCO services to clients in the asset management and finance industry. As a truly global…
July 26, 2022
Regulatory Update: UK Edition – June 2022
This edition includes - FCA Feedback Statement FS22/4 on regulatory regime for ESG rating providers, PRA publishes annual report, EBA…
July 14, 2022
Regulatory Updates June 2022
30 June 2022 - Implementation of fairness principles in financial institutions' use of artificial intelligence/machine learning MAS conducted a thematic…
July 13, 2022
The latest MAS compliance requirements: How Waystone can help
With MAS compliance requirements becoming more complex, many firms find it more efficient to outsource their compliance needs.
July 12, 2022
Regulatory Update: Middle East Edition – June 2022
This edition includes - DFSA holds educational cyber security seminar, DIFC Academy holds ERS, CRS and FATCA training, ADGM announced…
July 11, 2022