Cayman Islands Monetary Authority Guidance on The Appointment, Duties, and Responsibilities of Anti-Money Laundering Officers

The Cayman Islands Monetary Authority recently issued a reminder regarding the duties and responsibilities of Anti-Money Laundering Compliance Officers (“AMLCOs”),…
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FINRA Requests Comment on Enhancements to TRACE Reporting for U.S. Treasury Securities

FINRA recently issued a request for comment on Enhancements to TRACE Reporting for U.S. Treasury Securities. TRACE is the FINRA-developed…
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NFA Notice to Members I-20-44-Changes to the NFA Form PQR

The NFA recently issued a reminder that NFA Member CPOs are required to submit their December 31, 2020 NFA Form…
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The NFA Released Two Rule Submission Letters Regarding Branch Offices and Filing Fines

On Monday, August 23rd, the National Futures Association (“NFA”) released two rule submission letters regarding Branch Offices and Filing Fines.…
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FINRA Virtual Event Gifts, Business Entertainment, and Non-Cash Compensation FAQ

FINRA recently published an FAQ concerning food and beverages provided by associated persons during virtual business entertainment events. FINRA Rule…
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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…
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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…
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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…
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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…
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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…
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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…
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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…
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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,…
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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…
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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…
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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…
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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…
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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…
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