Regions
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6 June 2025 | UK & Europe
Do you find it challenging to understand the expectations from the regulators as a new or small asset manager in the UK? The UK regulations, which are mostly principle-based and…
29 May 2025 | UK & Europe
The past decade has seen the wealth management and financial advice sectors undergo substantial change with the continuing merger and acquisition activity, consolidating small and regional firms into larger entities.…
29 May 2025 | Americas
Efforts to regulate cryptocurrencies and stablecoins have been percolating in Washington for several years, with sporadic bipartisan interest but no major legislation reaching the finish line. With the final enactment…
29 May 2025 | Dubai
As digital asset firms seek more established regulatory environments, the United Arab Emirates (UAE) continues to position itself as a global hub for blockchain, tokenisation, and institutional Web3 innovation. This…
29 May 2025
FinCEN is finalizing its new anti-money laundering (AML) regulations, aimed at mitigating illicit finance risks within the investment adviser sector. Registered Investment Advisers (RIAs) and Exempt Reporting Advisers (ERAs) must…
28 May 2025 | UK & Europe
The corporate offence of Failure to Prevent Fraud, set out in the Economic Crime and Corporate Transparency Act 2023, comes into effect on 1st September 2025. This means that “large”…
22 May 2025 | UK & Europe
As the FCA ramps up its expectations in the payments and e-money space, a compliance monitoring programme (CMP) isn’t just for show. It’s how firms stay ahead of regulatory expectations,…
12 May 2025 | UK & Europe
The FCA has published a consultation paper on the definition of capital for investment firms, otherwise known as CP25/10. The paper aims to simplify the existing UK Capital Requirements Regulation…
12 May 2025 | Asia
The MAS has issued proposals to put in place a regulatory framework enabling retail investors to invest in private market investment (PMI) funds. The framework would allow fund managers to…
12 May 2025 | Americas
NEWSLETTER: It’s clear the SEC is continuing to make strides in crypto regulation, with its recent $198 million fraud charge against PGI Global’s Founder and three new developments that are…
NEWSLETTER: The FCA has released its first review of complaints since the inception of the Consumer Duty, homing in on the effectiveness of firms’ governance, management information, and root cause…
NEWSLETTER: Hong Kong is still leading the charge on digital assets, with the SFC continuing to remind licensed corporations of the implications of generative AI. Since the circular issued at…
