22 April 2025 | UK & Europe

Navigating the stepping stones of SDR

It has almost been a year since the first set of requirements of the Sustainability Disclosure Requirements (SDR) and Investment Labels regime came into force. At this point in the…

17 April 2025 | Asia

MAS clarifies and amends AML rules

The MAS has issued a consultation paper to clarify and amend certain areas of its Anti-Money Laundering and Countering the Financing of Terrorism rules. These include proliferation financing, clarity on…

16 April 2025 | UK & Europe

Why compliance monitoring matters for Payments and E-Money firms

The payments and e-money sector has evolved fast and the FCA has been working hard to keep up. Their latest portfolio letter makes it crystal clear – firms need to…

10 April 2025 | Dubai

Untangling the regulatory web in Dubai and Abu Dhabi

As more financial services firms look East to establish a footprint and build their global brand, we are noticing a growing number considering the Middle East as their primary option.…

10 April 2025 | UK & Europe

Streamlining SMCR compliance: Enhancing fitness and propriety

FCA-regulated firms have embraced the Senior Managers and Certification Regime, or SMCR, for several years. With non-financial misconduct under the FCA’s spotlight, businesses must keep up with the fitness and…

9 April 2025 | Americas

US Newsletter | March 2025

NEWSLETTER: Crypto and digital assets are still high on the regulator’s agenda, with the landscape continuing to evolve rapidly under the new administration. The recent $1.5 billion theft from Bybit’s cold…

9 April 2025 | UK & Europe

UK Newsletter | March 2025

NEWSLETTER: Whether it’s prudent segregation, CASS 15, or changes being announced by global regulators such as the DFSA, there has been plenty of activity in the client assets and safeguarding space recently. We…

1 April 2025 | UK & Europe

Time to review your approach as GFSC kicks off conflicts thematic review

The Guernsey Financial Services Commission (GFSC) has kick-started their conflict of interest thematic review to a selection of fiduciary and investment licensees. Focusing on a variety of areas – firms…

27 March 2025 | Americas

SEC eases path for performance marketing with FAQ guidance update

For the past few years, fund managers and compliance officers have wrestled with strict SEC requirements when advertising investment performance. Now, the SEC has eased those burdens with its update…

26 March 2025 | Americas

How can RIAs build a sturdy compliance program?

Small to mid-size registered investment advisers, or RIA’s, have unique challenges in establishing and maintaining a strong compliance program. To meet the regulator’s requirements under the Advisers Act and keep…

26 March 2025 | UK & Europe

CASS 15: What can firms do to prepare?

Everyone is waiting with bated breath for chapter 15 of the FCA’s safeguarding rules, due to be published in the first half of 2025. With firms being given a short…

24 March 2025 | Dubai

DFSA announces proposed changes to client asset regime

The DFSA’s consultation paper on the client asset regime, first issued last August, has received further amendments last week. Prompted by the regulator’s focus to protect users of the financial…

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