All the latest
compliance news,
articles and events
The SEC Proposed Amendments to its Electronic Recordkeeping Requirements
November 23rd | 2021 Last week, the SEC proposed amendments to its electronic recordkeeping requirements for broker dealers, security-based swap…
November 23, 2021
The impact of the IFPR on Exempt CAD Firms
The IFPR (Investment Firm Prudential Regime) is due to be implemented on 1st January 2022, and there are reasons to…
November 18, 2021
The UK's Fifth Anti-Money Laundering Directive (5MLD)
With our experience in AML/CTF standards we will work with your Firm to adopt the right approach to 5MLD 5MLD…
November 18, 2021
The Middle East Knowledge Series: Preparing an ICAAP Report
The annual regulatory reporting season is upon us for Firms with a 31 December financial year end, and one of…
November 18, 2021
The Knowledge Series: Establishing Effective Compliance Structures
Issue 9 in the Knowledge Series looks at the importance of structuring the Compliance function in a way which is…
November 18, 2021
Regulatory Update: Middle East Edition - December 2020
This edition includes - DIFC Issues its First Licence to Provide Money Services in the DIFC, ADGM to Amend the…
November 18, 2021
Regulatory Update: Middle East Edition - January 2021
This edition includes - DIFC Hosts Outreach Session for Cyber Risk Management Guidelines, ADGM Holds Online Workshop on Cryptocurrency and…
November 18, 2021
Regulatory Update: Middle East Edition - February 2021
This edition includes - DIFC Embraces the Future of Finance with Tokenisation of Digital Assets, ADGM Enacts the Data Protection…
November 18, 2021
Regulatory Update: Middle East Edition - March 2021
This edition includes - DIFC Records Highest Number of Annual Registrations Since Inception, FCPU Host Workshop on Targeted Financial Sanctions,…
November 18, 2021
Regulatory Update: Middle East Edition - April 2021
This edition includes - DIFC Announces Proposed Intellectual Property Regulations for Consultation, FSRA Introduces New Regulatory Framework for Third Party…
November 18, 2021
Regulatory Update: UK Edition - December 2020
This edition includes - FCA Reminds Firms to be Ready for End of Transition Period, PRA Evaluation of the Senior…
November 18, 2021
Regulatory Update: UK Edition - January 2021
This UK regulatory update includes - FCA Webpage on Regulatory Changes After End of Transition Period, SM&CR Forms Update, ESMA…
November 18, 2021
Regulatory Update: UK Edition - February 2021
This UK Regulatory Update includes: FCA Webpage on Regulatory Changes After End of Transition Period, SM&CR Forms Update, ESMA Consults…
November 18, 2021
Regulatory Update: UK Edition - March 2021
This edition includes - FCA Launches Campaign to Encourage Individuals to Report Wrongdoing, PRA Publishes Statement on Expectations to Outsourcing…
November 18, 2021
Regulatory Update: UK Edition - April 2021
This edition includes - FCA Consults on New UK Prudential Regime for MiFID Investment Firms, PRA Publishes Consultation Paper to…
November 18, 2021
Regulatory Update: UK Edition - May 2021
This edition includes - FCA Updates Statement on the Operation of MiFID Markets Regime, EBA Consultation on Proposal for a…
November 18, 2021
Regulatory Update: UK Edition - June 2021
This edition includes – FCA Updates & Developments including FCA Updates Authorisation Webpage for Change of Legal Status, PRA Statement…
November 18, 2021
Regulatory Update: UK Edition - July 2021
This edition includes – FCA agreements with overseas regulators, PRA proposal to make changes to policy on designated investment firms,…
November 18, 2021