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1 April 2025 | UK & Europe
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
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
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
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
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…
24 March 2025 | Americas
For years, private fund managers had to tiptoe around the SEC’s ban on general solicitation. Under the traditional Rule 506(b) safe harbor, you couldn’t publicly advertise an offering at all.…
17 March 2025 | UK & Europe
It’s been quiet on the prudent segregation front over the last couple of years, but recently discussions have flared up in the CASS world with the topic being discussed in…
13 March 2025 | Asia
The SFC has issued a circular addressing the implications of generative AI in the financial services sector, emphasising the need for firms to adopt robust governance frameworks when using AI…
12 March 2025 | UK & Europe
The FCA has published the long-awaited findings from its review of financial advisers’ ongoing services. While most ongoing suitability reviews were delivered as promised, the regulator signalled concerns with reviews…
7 March 2025 | Americas
In February, the crypto world witnessed one of its largest ever breaches, a staggering $1.5 billion theft from Bybit’s cold wallet infrastructure. In an industry that prides itself on innovation…
6 March 2025 | UK & Europe
The FCA’s letter to CEOs of asset managers and alternative firms underscores the regulator’s unwavering focus on market integrity, consumer outcomes, and financial crime for 2025. The letter highlights the…
3 March 2025 | UK & Europe
NEWSLETTER: We’re only into the second month of the year and the FCA is already roaring into action with Dear CEO letters, AML surveys, data requests, and transaction reporting fines.…
