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24 April 2024 | Americas
The SEC has issued a risk alert regarding marketing rule compliance for investment advisers, highlighting the staff’s findings following the implementation of the new Marketing Rule in November 2022. Published…
17 April 2024
With its response to the July 2023 consultation paper, the MAS has now finalised the key segregation and custody requirements for digital payment token services. The amendments are published in…
8 April 2024 | Asia
The MAS has issued its response to the Consultation Paper on Repeal of Regulatory Regime for Registered Fund Management Companies. Announced on the 28th March, it comes as no surprise…
5 April 2024 | Asia
The Singapore regulator has extended the scope of cross-border money transfer, domestic money transfer and digital payment token services under the Payment Services Act. The amendments, published on the 2nd…
3 April 2024 | UK & Europe
NEWSLETTER: Spring has sprung and with it the FCA Business Plan for the year ahead. It’s a hefty read packed full of reminders and clarifications, with a theme of hands-on…
3 April 2024 | Americas
NEWSLETTER: March is always a busy month in the compliance calendar as we wrap up the first quarter of the fiscal year. Filing deadlines always have a habit of creeping…
28 March 2024 | Americas
Since the implementation of the Dodd-Frank Act in 2010, private fund managers have seen the steady evolution of regulation governing their products. Alongside the recently proposed AML/CFT regulations, recent developments…
The SEC has taken action against two investment advisory firms, Delphia and Global Predictions, for false and misleading marketing statements around their use of AI. The action underscores a growing…
28 March 2024 | UK & Europe
The private equity and venture capital industry has been bracing itself for regulatory scrutiny when it comes to valuation. And it came in the FCA’s announcement of an impending multi-firm…
Insider dealing made up 84% of all STORs in 2022. In its latest Market Watch the FCA focuses on organised crime groups, which it says are actively recruiting insiders and…
The SEC has announced a new Climate-Related Disclosure rule to help standardize environmental reporting impact. Albeit scaled back from initial proposals, the rule moves the US towards more consistent and…
27 March 2024 | UK & Europe
The last business plan of the FCA’s three-year strategy, this year’s paper takes a breather from announcing another raft of consultations. Instead, it takes a practical look at where the…