FCA publishes its multi-firm review of Consumer Duty implementation plans

      On 25 January 2023, the Financial Conduct Authority (FCA) published its multi-firm review of Consumer Duty implementation plans.
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      Waystone Compliance News & Events for Global Updates from Asset Management Industry

      Visit the Waystone News & Events page for global updates from the asset management industry.

      Regulatory Update: UK Edition – December 2022

      This UK regulatory update includes - Chancellor of the Exchequer unveils “Edinburgh Reforms”, PRA speech on Implementing Basel 3.1 in…
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      FINRA highlights cyber security as one of the top risks facing the financial industry

      FINRA recently released their “2023 Risk Profile” report, highlighting cyber security as one of the major threats confronting the financial…
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      SEC releases updated Marketing Rule FAQs

      On January 11th, 2023, the SEC released an FAQ with responses to questions related to the adoption of amendments to…
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      Waystone Compliance Articles & Press Releases

      Compliance obligation reminders for licensed Venture Capital Fund Managers (VCFMs)

      Licensed Venture Capital Fund Managers (VCFMs) have various obligations that they must adhere to, and although not the same as…
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      Upcoming cyber regulations - what can you do to prepare?

      On 4 January 2023, the current administration released its Fall 2022 regulatory agenda. In this document they outlined the upcoming…
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      The Personal Data Protection Act (PDPA) Singapore – what are the requirements?

      The Personal Data Protection Act (PDPA) sets out clear minimum standards of safeguarding personal data in Singapore. It aims to…
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      Regulatory Update: Middle East Edition – December 2022

      This edition includes - Federal Decree Law on corporate tax issued by UAE, ADGM introduce the Guiding Principles on Whistleblowing,…
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      Regulatory Compliance Updates December 2022 – APAC Region

      28 December 2022 - Masterminds Behind Singapore's Largest Stock Market Manipulation Jailed To view this Criminal Prosecution, please click here.…
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      MAS Guidelines on Environmental Risk Management for Asset Managers

      What are the MAS Guidelines on Environmental Risk Management for Asset Managers?
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      Waystone Compliance Articles, Press Releases, APAC Updates, & More

      MAS Issues Revised Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies

      In November, MAS updated its guidelines on the licensing, registration and conduct of business for Fund Management Companies (FMCs).
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      Regulatory Update: UK Edition – November 2022

      This UK regulatory update edition includes – FCA's key priorities for the financial advice industry, consultation on the UK implementation…
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      Regulatory Update: Middle East Edition – November 2022

      This edition includes - DFSA crypto token regulatory regime in force, DFSA release CP145 on regulatory requirements for lower risk…
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      Regulatory Compliance Updates November 2022 – APAC Region

      29 November 2022 - Compliance Toolkit for Approvals Notifications and Other Regulatory Submissions to MAS for Special Purpose Reinsurance Vehicles…
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      ASEAN Central Banks sign MOU

      At the recent G20 Leaders’ summit in Bali, Indonesia, Bank Indonesia, Bank Negara Malaysia, Bangko Sentral ng Pilipinas, MAS and…
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      Waystone Compliance APAC Updates

      Regulatory Update: UK Edition – October 2022

      This UK regulatory update edition includes – FCA consultation on Sustainability Disclosure Requirements (SDR) and labels, PRA Dear CEO letter…
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      Notice for Firms on the FCA’s improved Appointed Representatives regime

      The FCA’s new rules for Appointed Representatives (ARs) come into force on 8 December 2022.
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      Cyber Risk in the Middle East – How secure is your firm and its ecosystem?

      Cyber-attacks are the unauthorised exploitation of systems, networks and technologies and they have been a high-risk item on companies' agendas…
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      The FCA’s new financial promotions regime for high-risk investments

      Background on the FCA’s Financial Promotions Regime for HRIs This article summarises the significant features of the FCA’s forthcoming financial…
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      Regulatory Update: Middle East Edition – October 2022

      This edition includes - DFSA issues feedback statement following CP143, UAE FIU publishes report on fraud crimes, trends and typologies…
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      Venture capital sector sees further expansion in Singapore

      Singapore's venture capital ecosystem has been gradually developing over the past few years and is now one of the most…
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