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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
Key Takeaways from the SEC Roundtable on Artificial Intelligence in the Financial Industry
On March 27, 2025, the Securities and Exchange Commission (SEC) convened a roundtable at its Washington, D.C. headquarters to address…
April 7, 2025
Cloud Migration Security: Best Practices and Pitfalls
As businesses increasingly shift their operations to the cloud, the promise of scalability, flexibility, and cost efficiency is hard to…
April 2, 2025
Key Changes to LFMC Form Filing Requirements: What You Need to Know
As part of its ongoing efforts to enhance regulatory efficiency and streamline processes, the Monetary Authority of Singapore (“MAS”) has…
April 1, 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
Navigating a DFSA Inspection: A Guide for (Re)Insurers
Introduction As insurance brokers, managing general agents (‘MGA’s), insurers, and reinsurers operating within the Dubai International Financial Centre (‘DIFC’), it…
March 21, 2025
Marketing Compliance: SEC Updates to FAQs
On March 19, 2025, the SEC’s Division of Investment Management released new FAQs addressing the Marketing Rule, specifically clarifying how…
March 20, 2025
Regulatory Compliance Update for Fund Managers in Asia
During this webinar, Waystone's compliance experts explore the latest regulatory compliance updates and trends across multiple jurisdictions which are relevant…
March 17, 2025
Regulatory Update February 2025 – APAC Region
This APAC Regulatory Update includes – Financial Institutions (Miscellaneous Amendments) Act 2024, Asset and Wealth Management Activities Survey 2024 and…
March 17, 2025
SEC 2025 Exam Priorities for Investment Advisers
The US Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) published its annual examination priorities (“Priorities”) for the…
March 14, 2025
Financial Crime Prevention & Compliance Training Guide
This guide aims to assist firms, including Compliance Officers and Money Laundering Reporting Officers (‘MLRO’s), in ensuring their employees understand…
March 14, 2025
Hong Kong SFC Increases Scrutiny on Asset Managers – Are You Prepared?
The Securities and Futures Commission (SFC) in Hong Kong plays a pivotal role in regulating and supervising the financial markets.…
March 11, 2025
SEC Introduces Cyber and Emerging Technologies Unit
The US Securities and Exchange Commission (SEC) has launched the Cyber and Emerging Technologies Unit (CETU) as of February 20,…
March 10, 2025
Regulatory Update February 2025 – ME Region
This edition includes – DFSA Issues Dear SEO Letter on Thematic Review on Conflicts of Interest, DFSA Launches Consultation on…
March 10, 2025
Regulatory Update Winter 2024 - 2025 – UK Region
This UK regulatory update includes – The latest updates and developments from the Financial Conduct Authority ("FCA"), Regulatory Reform: Spotlighting…
March 7, 2025
Regulatory Update January 2025 – APAC Region
This APAC regulatory update includes – Application for Approval to Obtain Effective Control, Basic Financial Planning Guide, Guidelines for Market…
February 26, 2025
The Human Factor in Cyber Security: Understanding the Impact of Human Error
When discussing cyber security, many focus on firewalls, encryption and cutting-edge technologies. However, the greatest vulnerability in most organizations isn’t…
February 25, 2025
DFSA Publishes Thematic Review on Targeted Financial Sanctions Compliance in the Insurance Sector
In 2024, the Dubai Financial Services Authority (‘DFSA’) conducted a thematic review to evaluate how well insurance firms in the…
February 25, 2025
Navigating the New UAE Insurance Brokers’ Regulation: Payments Direct to Insurance Companies
The insurance industry in the UAE is set to undergo a major transformation starting February 15, 2025. In response to…
February 19, 2025
Practical Implications of the SFC’s Guidelines for Market Soundings - Immediate Actions for Fund Managers
The Securities and Futures Commission (“SFC”) has published the Hong Kong Market Sounding Guidelines (the “Guidelines”), which will take effect…
February 17, 2025
Regulatory Update January 2025 – ME Region
This edition includes – DFSA Publishes Findings from the 2024 Whistleblowing Thematic Review, ADGM reduces Commercial License Fees, SCA Drafts…
February 14, 2025