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MAS commences revised reporting requirements for OTC derivative contracts
The Monetary Authority of Singapore’s (MAS) OTC derivatives reporting requirements under the Securities and Futures (Reporting of Derivatives Contracts) Regulations…
December 12, 2023
Regulatory Update: Middle East Edition – November 2023
This edition includes – FSRA publishes 2024 Business Plan, ADGM hosts Abu Dhabi Finance Week, DFSA issues Dear SEO Letter…
December 7, 2023
Cyber security in 2023 - key trends and future considerations for the financial services sector
2023 presented a continued surge in cyber attacks, ranging from sophisticated ransomware campaigns to supply chain compromises. These threats pose…
December 6, 2023
SEC 2024 Exam Priorities for Private Fund Advisers
SEC registered investment advisers will face the biggest changes
November 30, 2023
Regulatory Update: UK Edition – October 2023
This UK regulatory update includes – FCA Market Watch 75, FCA speech “Updating and improving the UK regime for asset…
November 15, 2023
Regulatory Update: Middle East Edition – October 2023
This edition includes – DFSA consults on banking credit and counterparty credit risk, FSRA consults on revisions to regulatory fees…
November 9, 2023
Regulatory Compliance Updates October 2023 – APAC Region
Consultation paper on repeal of regulatory regime for Registered Fund Management Companies
November 8, 2023
MAS issues Consultation Paper on repeal of regulatory regime for Registered Fund Management Companies
Overview of the RFMC regime The RFMC regime was introduced in 2012 after the Exempt Fund Manager (EFM) regime was…
October 31, 2023
October 25, 2023
Regulatory Update: UK Edition – September 2023
This UK regulatory update includes – FCA issues final rules on gateway for firms that approve financial promotions, The FCA…
October 24, 2023
MAS issues its latest Enforcement Report
The Monetary Authority of Singapore (MAS) recently issued its 4th Enforcement Report, covering the period from January 2022 to June…
October 24, 2023
Regulatory Update: Middle East Edition – September 2023
This edition includes – members of the UAE Sustainable Finance Working Group launch consultation on ‘Principles for Sustainability-Related Disclosures for…
October 9, 2023
Regulatory Compliance Updates September 2023 – APAC Region
Consultation Paper on Draft Notices on the Competency Requirements for Representatives Conducting Regulated Activities under the Financial Advisers Act and…
October 4, 2023
Headlines from the SEC’s Private Fund Adviser Reforms
SEC registered investment advisers will face the biggest changes
October 2, 2023
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