All the latest
compliance news,
articles and events
What Exempt Reporting Advisers need to know about the Private Funds Adviser Rule
SEC Private Fund Adviser Compliance Requirements
October 2, 2023
The Consumer Duty is for life, not just for summer
For those firms falling within the scope of the FCA's Consumer Duty, the 12 months leading up to the 31…
September 29, 2023
Regulatory Update: UK Edition – Summer 2023
This UK regulatory update includes – HM Treasury publishes outcome of Investment Research Review, FCA publishes results of Liquidity Management…
September 25, 2023
Regulatory Update: Middle East Edition – August 2023
This edition includes – FSRA announces changes to its regulatory framework on client classification, client assets and conduct requirements regarding…
September 12, 2023
How Single-Family Offices can utilise and benefit from Variable Capital Companies
The concept of a ‘family office’ does not have a fixed definition. Typically, it is conceptualised as an entity that…
September 8, 2023
What’s Next for Singapore VCCs
Singapore has introduced an alternative fund framework for Variable Capital Companies (VCCs), in order to encourage more funds to be…
September 7, 2023
Recent Updates to Variable Capital Companies and Single Family Offices in Singapore
The Variable Capital Company (“VCC”) framework was introduced in Singapore in 2020 with a legal structure that is designed to…
September 7, 2023
Compliance Update: Breakfast Briefing
Come along to our complimentary Compliance Update: Breakfast Briefing in partnership with CCL Academy and hear from expert compliance professionals…
September 7, 2023
MAS Announces New Regulatory Measures for Financial Advisors
In response to feedback received on its consultation paper, the Monetary Authority of Singapore (MAS) has unveiled a series of…
September 7, 2023
AML/CFT requirements for Variable Capital Companies (VCC)
Variable Capital Companies (VCC) are required to put in place robust controls to detect and deter the flow of illicit…
September 7, 2023
Suitability- is your firm complying with the DFSA Rules?
In 2020, the DFSA completed a programme of thematic reviews designed to assess the suitability-related systems and controls implemented by…
September 7, 2023
Regulatory Compliance Updates August 2023 – APAC Region
FAQs on the Notice on Business Conduct Requirements for Corporate Finance Advisers
September 6, 2023
LinkedIn Account Takeovers and Ransom Demands - A Threat Extending to Business Accounts
In the ever-evolving landscape of cyber security, new threats are constantly emerging, targeting our personal and professional digital spaces.
August 24, 2023
SEC Releases Private Fund Adviser Reforms
On Wednesday, August 23, The US Securities and Exchange Commission (SEC) voted to adopt final amendments to the Investment Advisers Act…
August 24, 2023
SEC Charges 11 Firms with Widespread Recordkeeping Failures
Firms admit to wrongdoing and agree to pay penalties totaling $289 million
August 9, 2023
Regulatory Compliance Updates July 2023 – APAC Region
Have a question about any of the updates below? Get in touch with our APAC compliance team today. 31 July 2023 -…
August 8, 2023
MAS Proposed Framework for Single Family Offices
The Monetary Authority of Singapore (MAS) has proposed a new exemption framework for single family offices (SFOs) operating in Singapore.…
August 8, 2023