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| UK & Europe

FCA looks to shut stable door on financial promotions

In a year dominated by the implementation of the Consumer Duty, separate regulatory initiatives are being introduced with consumer protection in mind. From 6th November, firms can apply for a…

| UK & Europe

Final SDR to include fourth label and anti-greenwashing rules for all

The FCA’s policy statement on Sustainability Disclosure Requirements has finally arrived. An unprecedented number of responses to the consultation have resulted in an additional investment label for blended strategies and…

| Americas

Bitcoin ETFs to shape future of crypto advisors

The anticipated approval of a bitcoin exchange-traded fund in the US carries significant regulatory implications for investment advisors. Beyond providing easier access to Bitcoin, these ETFs may address critical concerns…

| UK & Europe

FCA offers ICARA tips pending thematic results

The FCA has published an unexpected report this week concluding its initial observations on the multi-firm review of ICARAs carried out earlier in the year. While we wait for the…

| UK & Europe

View from the Chair – Is “use it or lose it” too black and white?

“Use it or lose it” is the FCA’s mantra around regulatory permissions. A Freedom of Information request from Financial News reveals that the FCA has written to 762 firms suspected…

| UK & Europe

Ensuring remuneration deters poor behaviour

In the past few years, the FCA has shown its determination to ensure that firms embed a culture where good outcomes for consumers are central, as evidenced by the consumer…

| Americas

Shaping the future: Gensler’s tenure so far

The SEC’s role in shaping the financial compliance landscape has been both transformative and contentious. Under the stewardship of Commissioner Gary Gensler, the regulator has been particularly proactive, issuing a…

| Americas

SEC insight: aligning documenting with doing

The SEC’s outreach event last month not only delved into priorities for the year, it also gave valuable insight into how the commission thinks. And the common theme in every…

| Asia

MAS sets liquidity risk management expectations

Following a series of thematic inspections of Fund Management Companies, the MAS has released an information paper setting out its expectations around liquidity risk management. The MAS notes areas where…

| UK & Europe

Wealth manager letter sets stage for tougher supervision

Readers of the latest Dear CEO letter to wealth managers and stockbrokers will note a distinct shift in the FCA’s tone. This is the regulator in combative, sabre-rattling mode for…

| Asia

SFC issues risk management guidelines for futures brokers

The SFC has introduced new Risk Management Guidelines that will significantly impact futures dealing activities. Set to take effect on 25 February 2024, the guidelines aim to enhance risk management…

| Asia

JPEX fraud puts VATP regime in focus

Close to 30 people have been arrested following the SFC’s referral of the JPEX alleged fraud case to the police. The case serves as a stark reminder that investors should…
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