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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
Regulatory Update March 2025 – US Region
This US Regulatory Update includes – SEC No-Action Relief on Rule 506(c) Verification, Extension of Compliance Deadlines for the Names…
April 30, 2025
Reminder of SFC’s Strategic Priorities for 2024-2026
In January 2024, the Hong Kong Securities and Futures Commission (SFC) unveiled its Strategic Priorities for 2024-2026, aiming to strengthen…
April 28, 2025
Regulatory Update March 2025 – APAC Region
This APAC Regulatory Update includes – issuance of response to consultation paper on proposed legislative amendments to the requirements for…
April 23, 2025
Regulatory Update March 2025 – UK Region
This UK regulatory update includes a roundup of the latest news and publications from the Financial Conduct Authority (FCA) including…
April 23, 2025
DFSA High-Level Cyber Risk Management Guide
In line with the Dubai Financial Services Authority (‘DFSA’) regulations, specifically General Rulebook (‘GEN’) Rule 5.5 on Cyber Risk Management,…
April 22, 2025
FSRA IT Risk Management Expectations: A High-Level Summary
The Financial Services Regulatory Authority (‘FSRA’) IT Risk Management Guidance, published in November 2024, provides a structured approach to help…
April 22, 2025
Regulatory Update March 2025 – ME Region
This edition includes – DFSA Publishes CP on Licensed Functions and Authorised Individuals, FSRA Issues CP on Periodic Fund Reporting…
April 8, 2025
Regulatory Update February 2025 – UK Region
This UK regulatory update includes – Financial Conduct Authority (FCA) updates and developments, The FCA Chief Executive's speech on supporting…
April 1, 2025