All the latest
compliance news,
articles and events
Strengthening AML/CFT controls of Digital Payment Token (DPT) providers
The Monetary Authority of Singapore (MAS) recently released an infographic setting out recent international developments and MAS’ supervisory expectations on…
December 8, 2021
Payment Services Act updates
As Singapore's new Payment Services Act came into effect in January 2020, Argus Global hosted a timely event to discuss…
December 8, 2021
APAC Monthly Newsletter, November 2021
MAS Regulatory Updates - Highlights 30 November 2021 – Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to…
December 6, 2021
Consolidated audit proposed funding model
The comment period on a revised funding model (“Proposed Funding Model”) for the consolidated audit trail (“CAT”) recently closed. The…
November 30, 2021
SEC Division of Examination’s review of ESG investing
The SEC recently issued a Risk Alert that highlights observations from recent exams of investment advisers, registered investment companies, and…
November 30, 2021
The SEC recently approved its market data infrastructure proposal
The SEC recently approved its market data infrastructure proposal. Earlier this year, the SEC introduced its proposal to modernize the…
November 30, 2021
SEC Commissioner Hester Peirce's call for clearer guidance on digital assets and custody
SEC Commissioner Hester Peirce, speaking at the British Blockchain Association Conference, recently advocated for the SEC to provide more clarity…
November 30, 2021
U.S. House FSC releases memo regarding "Meme Stocks"
Last week the U.S. House Financial Services Committee considered reform recommendations from industry experts’ testimonies regarding the trading volatility in…
November 30, 2021
ESMA decision on lower reporting thresholds
The EU’s securities markets regulator (ESMA) recently decided not to renew its decision to require holders of net short positions…
November 30, 2021
SEC Adopts Rules to Modernize Key Market Infrastructure
The SEC recently approved its market data infrastructure proposal. Earlier this year, the SEC introduced its proposal to modernize the…
November 30, 2021
OCIE Risk Alert - Large Trader Obligations
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) recently issued a Risk Alert concerning SEC-registered investment advisers (“investment advisers”)…
November 30, 2021
30-Day Extension for Filing Annual Reports for Certain Broker-Dealers
On February 12, the SEC extended the deadline for certain smaller broker-dealers to file their annual reports by 30 calendar…
November 30, 2021
FINRA Proposes Changes to its Private Placement Filing Requirements to Include Retail Communications
FINRA recently submitted a proposal to amend FINRA Rule 5122 ("Private Placements of Securities Issued by Members") and FINRA Rule…
November 30, 2021
SEC Issues Statement and Requests Comment Regarding the Custody of Digital Asset Securities
The SEC recently issued a statement and request for comment regarding the custody of digital asset securities by broker-dealers in…
November 30, 2021
The State of New York Approves Mandatory Registration Requirements for IA Representatives
Commencing February 1, 2021, New York state is mandating enhanced examination and registration requirements for natural persons representing investment advisors.…
November 30, 2021
CFTC Staff Provides Limited Continuation of Certain No-Action Relief
The Market Participants Division (MPD) and the Division of Market Oversight (DMO) of the CFTC recently announced extensions to temporary…
November 30, 2021
Remote Online Testing Available for Candidates Seeking to Take Futures Industry Proficiency Exams
In Notice I-21-03, NFA announced that starting on January 19, 2021, NFA registration candidates that need to take the Series…
November 30, 2021
Form Filing-New York IA Representative Registration
FINRA recently announced that effective February 1, 2021, the State of New York (NY) will begin registering Investment Adviser Representatives…
November 30, 2021