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…
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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…
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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…
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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…
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Headlines from the SEC’s Private Fund Adviser Reforms

SEC registered investment advisers will face the biggest changes
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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…
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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…
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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…
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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…
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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…
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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…
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Compliance Update: Breakfast Briefing

Come along to our complimentary Compliance Update: Breakfast Briefing in partnership with CCL Academy and hear from expert compliance professionals…
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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…
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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…
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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…
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Regulatory Compliance Updates August 2023 – APAC Region

FAQs on the Notice on Business Conduct Requirements for Corporate Finance Advisers
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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.
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