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Market Sounding in Hong Kong under SFC Regulations
The Securities and Futures Commission (hereinafter “SFC”) has introduced Market Sounding Guidelines (hereinafter the “Guideline”), effective from 2 May 2025.
June 20, 2025
BE-180 Benchmark Survey – Deadline Fast Approaching
Every five years, the Bureau of Economic Analysis (BEA) conducts the BE-180 Benchmark Survey, the most comprehensive survey of US…
June 17, 2025
Regulatory Update May 2025 – UK Region
This UK regulatory update includes a roundup of the latest news and publications from the Financial Conduct Authority (FCA), including…
June 16, 2025
MAS Reminder - Anti-Money Laundering (AML) and Countering the Financing of Terrorism (CFT) enforcement
As Singapore’s financial sector continues to develop in size and complexity, the Monetary Authority of Singapore (“MAS”) is continually taking…
June 13, 2025
Regulatory Update May 2025 – ME Region
This edition includes – DFSA Dear MLRO Letter on National Risk Assessment, DFSA Amends Legislation following Consultation Paper 161 “Enhancing…
June 13, 2025
Regulation S-P Amendments are Here
The US Securities and Exchange Commission (SEC) has finalized significant amendments to Regulation S-P (Reg S-P), which governs how financial…
June 9, 2025
The SFC’s Financial Resources Rules – what you need to know
The Financial Resources Rules (hereinafter “FRR”) stipulated by Cap. 571N Securities and Futures (Financial Resources) Rules (hereinafter “SFO (FRR)”) form…
June 6, 2025
SFC’s Revised FRR Form and New Reporting Requirements for Hedge Fund Managers
Regulatory Shifts for Hedge Fund Managers For the recent years, there have been growing concerns for large hedge fund managers…
May 30, 2025
Navigating Conflicts of Interest: DFSA and FSRA Requirements for Authorised Firms
Conflicts of interest may present a significant risk to the integrity of financial services. As a result, identifying, managing, and…
May 28, 2025
Regulatory Update April 2025 – US Region
This US Regulatory Update includes Amendments to Form PF, Extension to Form N-PORT, New Co-Investment Relief for BDCs and CEFs.
May 27, 2025
Regulatory Update April 2025 – APAC Region
This APAC Regulatory Update includes Consultation Paper on the Proposed Amendments to Anti-Money Laundering and Countering the Financing of Terrorism…
May 21, 2025
Building a Compliant and Effective Whistleblowing Framework: Key Considerations for Firms
A robust whistleblowing framework is essential for firms operating under the Dubai Financial Services Authority (‘DFSA’).
May 20, 2025
Regulatory Update April 2025 – UK Region
This UK regulatory update includes a roundup of the latest news and publications from the Financial Conduct Authority (FCA) including…
May 14, 2025
Prepare Now for the 2025 BE-10 Benchmark Survey (US Direct Investment Abroad)
Every five years, the Bureau of Economic Analysis (BEA) conducts the BE-10 Benchmark Survey, the most comprehensive survey of US…
May 13, 2025
Regulatory Update April 2025 – ME Region
This edition includes – UAE Complete National Risk Assessment on AML/CFT, FSRA Issues Consultation Paper on Cyber Risk, DFSA Issues…
May 13, 2025
Preparing for FinCEN’s New AML Rule: Why Investment Advisers Should Start Planning Now
Update (July 2025): The AML rule compliance deadline has been extended to January 1, 2028. While this gives firms additional…
May 12, 2025
The FCA’s Smaller Asset Managers and Alternatives Business Model Review
On 8th May 2025, the Financial Conduct Authority (“FCA”) published the results of its review of business models for smaller…
May 12, 2025