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Cayman Islands Monetary Authority Guidance on The Appointment, Duties, and Responsibilities of Anti-Money Laundering Officers
June 9th | 2021 The Cayman Islands Monetary Authority recently issued a reminder regarding the duties and responsibilities of Anti-Money…
June 9, 2021
FINRA Requests Comment on Short Interest Position Reporting Enhancements
June 9th | 2021FINRA is requesting comment on potential enhancements to its short sale reporting program. Pursuant to FINRA Rule…
June 9, 2021
The Monetary Authority of Singapore proposes to mandate reference checks
The Monetary Authority of Singapore (“MAS”) released a consultation paper on 17 May 2021 inviting the public to comment on…
June 8, 2021
Consolidated Audit Proposed Funding Model
May 26th | 2021 The comment period on a revised funding model (“Proposed Funding Model”) for the consolidated audit trail…
May 26, 2021
NFA Compliance Rules 2-9 and 2-36: Members' Use of Third-Party Service Providers
May 26th | 2021 On March 24, 2021, the National Futures Association (“NFA”) provided Notice to Members requiring each Member…
May 26, 2021
CFTC Staff Publishes Updated Responses to FAQs Regarding Commission Regulation 4.27 and Form CPO-PQR
May 26th | 2021 The CFTC recently updated its FAQs regarding CFTC Regulation 4.27 and Form CPO-PQR. There are no…
May 26, 2021
Revised Technology Risk Management Guidelines
On 18 January 2021, the Monetary Authority of Singapore (MAS) released a revised Technology Risk Management Guidelines to address an…
January 22, 2021
MAS to enhance enforcement actions against market abuse and financial misconduct
In its Enforcement Report published today, the Monetary Authority of Singapore (MAS) has detailed several actions against financial institutions (FIs)…
November 5, 2020
Financial Advisors – Balanced Scorecard Requirements
Monetary Authority of Singapore (“MAS”) issued Notice FAA-N02 Requirements for the Remuneration Framework for Representatives and Supervisors (“Balanced Scorecard Framework”)…
November 3, 2020
Licensing and Compliance Requirements for Precious Metal Dealers
In late 2019, Ministry of Law (“Minlaw”) reminded all precious metal dealers to register their business with the Registrar of…
October 27, 2020
Guidelines on Individual Accountability and Conduct
On 10 September 2020, the MAS released the Guidelines on Individual Accountability and Conduct (“Individual Accountability Guidelines”) which lists down…
October 15, 2020
Strengthening AML/CFT Controls
Monetary Authority of Singapore (“MAS”) on 15th of July 2020 published a guidance paper which sets out MAS’ supervisory expectations of…
September 30, 2020
SUMMARY OF RECENTLY ISSUED GUIDE TO DIGITAL TOKEN OFFERINGS
The issued guide provides for general points relating to the application of Securities Law administered by the Monetary Authority of…
August 28, 2020
Singapore Regulatory Updates 2020: Presentation Slides
Argus Global (now Waystone Compliance) hosted a discussion on Singapore Regulatory updates on 21 Jan 2020. Please go through our…
August 27, 2020
How to Setup a Singapore Fund Management Company
Singapore – Gateway to Asia Global Investors are now headed towards Asia-pacific region since it is outperforming the rest of…
August 27, 2020
Are You Prepared to Comply With MAS Environmental Risk Management Guidelines?
The Monetary Authority of Singapore (“MAS”) consulted on June 2020, on the proposed guidelines to enhance fund managers’ resilience to…
August 16, 2020
External Asset Managers in Singapore
External Asset Managers in Singapore External Asset Managers (EAM) enable clients to place their money with their choice of bank…
July 24, 2020
Singapore versus Hong Kong: Comparison Between Different Fund Management Regimes
Introduction Since the advent of the global financial crisis, Asia’s two competing international financial centers- Hong Kong and Singapore, have…
July 15, 2020