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7 February 2025 | UK & Europe
The FCA has taken enforcement action against a firm for breaches of transaction reporting requirements since they became law under the UK MiFIR. Infinox Capital Limited has been fined nearly…
5 February 2025 | Americas
NEWSLETTER: The new year and new administration have already seen a shift in tone in the financial world, with a number of regulatory changes on the way. In December, we…
5 February 2025 | UK & Europe
NEWSLETTER: We’ve entered the new year in full force, and it looks as though we’re not the only ones. 2025 begins with CFD firms grappling with last years’ Dear CEO…
30 January 2025 | Americas
In the private fund world, audits are a necessary control to have a third party review your fund’s financial information. We all know a successful audit helps validate to your…
29 January 2025 | Americas
The SEC’s annual Examination Priorities list is a helpful indicator for firms, detailing topics where an examiner is most likely to focus, and where firms will need to be prepared…
17 January 2025 | UK & Europe
The GFSC continues to prioritise board effectiveness and hasn’t shied away from taking action where necessary to uphold standards. Governance failures can either result in sanctions, impact operational effectiveness and…
6 January 2025 | Americas
NEWSLETTER: We hope you had enjoyable Thanksgiving celebrations. We’re now entering the final stretch before switching off for a well-earned Christmas break. The new year also brings us a new…
6 January 2025 | Asia
NEWSLETTER: We’re in the final stretch before switching off for a well-earned Christmas break. In Singapore, following the MAS guidance paper outlining AML expectations, the regulator has been showing some…
6 January 2025 | Global
With over ÂŁ14.6 trillion assets under custody and developments within the sector, it is not surprising that it has become an increasing area of focus for the FCA. In their…
6 January 2025 | UK & Europe
NEWSLETTER: We’re in the final stretch before switching off for a well-earned Christmas break. This month marks the fifth anniversary of SMCR. While the operational aspects remain under review, the…
19 December 2024 | Americas
Becoming a newly registered investment adviser (RIA) is an exciting milestone, but it comes with significant compliance responsibilities. A well-structured RIA compliance checklist can help ensure you meet these obligations effectively and…
19 December 2024 | UK & Europe
The Compliance Oversight (SMF16) and Money Laundering Reporting Officer (SMF17) are two key Senior Management Functions (SMF) that many FCA-regulated firms must appoint an individual to hold. Recently, the FCA…