All the latest
compliance news,
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CFTC charges five entities for failing to register as FCMs
The CFTC announced that it has filed charges against five entities for operating as unregistered futures commission merchants (FCM).
September 26, 2022
SEC Fines Firm $35 Million for Failure to Protect Client Data
On September 20, 2022, the U.S. Securities and Exchange Commission (“SEC”) fined Morgan Stanley Smith Barney for their purported failure…
September 22, 2022
Securing sensitive employee data – recommended HR policies and procedures
The onboarding and offboarding of employees is not a subject that we often think about in terms of information security.…
September 22, 2022
Regulatory Update: Middle East Edition – August 2022
This edition includes - ADGM Registration Authority publishes priorities for 2022-2023, VARA issues regulations governing virtual assets marketing and DIFC…
September 13, 2022
It is with sadness that we mark the passing of Her Majesty The Queen
Following the passing of Her Majesty Queen Elizabeth II, we reflect on her remarkable reign and her dedication to a…
September 9, 2022
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