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Visit the Waystone News & Events page for global updates from the asset management industry.
Regulatory Update November 2024 – APAC Region
This APAC regulatory update includes – Monetary Authority of Singapore ("MAS") is implementing mandatory reference checks for Financial Institutions ("FIs"),…
December 13, 2024
Regulatory Update November 2024 – ME Region
This edition includes – Dubai Financial Services Authority issues Dear SEO Letter 'Key Themes and findings from the Cyber Thematic…
December 12, 2024
ESMA sets Guidelines for ESG and Sustainability-Related Fund Names
The European Securities and Markets Authority (“ESMA”) has issued guidelines on funds’ names using environmental, social and governance ("ESG") or…
December 11, 2024
FCA Guidance on Consumer Duty Reports
The Financial Conduct Authority (“FCA”) has today issued the findings from its review into firms’ approaches to completing the first…
December 11, 2024
Regulatory Update November 2024 – UK Region
This UK regulatory update includes – FCA consults on investment research payment optionality for fund managers, Home Office issues guidance…
December 10, 2024
Cyber security trends to watch in 2025 - predictions and preparations
As 2024 draws to a close, the cyber security landscape continues to evolve at a rapid pace. Businesses, governments, and…
December 4, 2024
FINRA renewal reminder
Firms are required to renew their Financial Industry Regulatory Authority (FINRA) registrations on an annual basis, beginning in the fourth…
November 22, 2024
Regulatory Update October 2024 – UK Region
This UK regulatory update includes – FCA publishes Market Watch 80, Interim Regulatory Initiatives Grid published, FCA publishes the results…
November 22, 2024
Corporate Transparency Act
The Corporate Transparency Act (CTA) requires certain entities (known as "Reporting Companies") to report Beneficial Ownership Information (BOI) to FinCEN,…
November 19, 2024
Regulatory Update October 2024 – APAC Region
This APAC regulatory update includes – updates on Singapore’s national AML strategy, AML/CFT supervisory expectations from recent inspections, FAQs on…
November 18, 2024
UK Chancellor’s Mansion House Speech: Points of Interest for FCA-Regulated Firms
In her inaugural Mansion House speech, UK Chancellor Rachel Reeves outlined a comprehensive set of plans to grow the UK…
November 15, 2024
Regulatory Update October 2024 – ME Region
This edition includes – DFSA Thematic Review on Complaints Handling Key Findings, DFSA publishes Thematic Review for Money Service Providers,…
November 12, 2024
SEC adopts amendments to beneficial ownership reporting rules
Compliance Date: Compliance with the revised Schedule 13G filing deadlines was mandated on September 30, 2024. Compliance with the structured…
November 11, 2024
Incident response planning - navigating cyber security emergencies
In today’s cyber landscape, where threats are becoming increasingly complex and frequent, having an incident response plan (IRP) is essential…
November 6, 2024
Navigating the new UAE insurance landscape
The Federal Decree-Law No. 48 of 20231 marks a significant overhaul of the UAE’s insurance regulatory framework, aligning it with…
November 5, 2024
MAS provides an update to fund tax incentive schemes for family offices
On 1 October, the Monetary Authority of Singapore (MAS) released details of changes to the fund tax incentive schemes under…
November 4, 2024
MAS reminder - Anti-Money Laundering (AML) and Countering the Financing of Terrorism (CFT) audits
On 21 October 2024, the Monetary Authority of Singapore (MAS) issued a circular to remind Financial Institutions (FIs) about the…
October 29, 2024
NFA Compliance Rule 2-52: NFA Member Questionnaire requirements
Effective Date: October 15, 2024
October 29, 2024
DFSA – Fixed Penalty Notice Regime
On 15 April 2024, the Dubai Financial Services Authority (‘DFSA’) introduced a new Fixed Penalty Notice (‘FPN’) regime.
October 29, 2024
FinCEN final rule regarding AML requirements for US investment advisers
On August 28, 2024, the Financial Crimes Enforcement Network ("FinCEN") issued a final rule expanding the definition of “financial institution”…
October 22, 2024