Reads

nyc stock exchange

SEC issues risk alert for Marketing Rule compliance

SEC issues risk alert for Marketing Rule compliance 1400 788 Risky Women
This latest risk alert presents an opportune moment to review your practices and use the regulator’s guidance as a roadmap in your annual review
Singapore

MAS finalises crypto segregation and custody regulations

MAS finalises crypto segregation and custody regulations 1200 800 Risky Women
Worth familiarising yourself with these details if you operate in the digital payment token (DPT) space, particularly if you’re a DPT service provider (DPTSP).
Singapore

MAS to repeal RFMC regime

MAS to repeal RFMC regime 1200 800 Risky Women
If you’re an RFMC looking to continue operating after the official repeal date on 1st August 2024, it’s imperative to be clear what you need to do to prepare.
nyc stock exchange

‘AI washing’ hung out to dry

‘AI washing’ hung out to dry 1400 788 Risky Women
Growing concern by regulators over the authenticity of claims regarding the capability of technology, particularly in the realm of AI
London the City

View from the Chair: Be afraid as FCA threatens going public

View from the Chair: Be afraid as FCA threatens going public 1200 675 Risky Women
Be afraid, be very afraid is a mantra we have heard before. The FCA’s new proposed approach might make it a reality.

The Anti-Greenwashing rule – green devils in the detail?

The Anti-Greenwashing rule – green devils in the detail? 1400 787 Risky Women
All authorised firms will need to comply with the anti-greenwashing rule, part of the FCA’s Sustainability Disclosure Regime, by the end of May.
Singapore

FIMA Bill to enhance MAS powers

FIMA Bill to enhance MAS powers 1200 800 Risky Women
Enhancements to investigative powers, clarification of reprimand powers and expansion of powers related to licence holders conducting unregulated activities.
London the City

Ongoing services take centre stage in first Consumer Duty review of advice sector

Ongoing services take centre stage in first Consumer Duty review of advice sector 1200 675 Risky Women
By focusing on the heart of this business model, the regulator is demonstrating how it intends to use the Duty to supervise financial advisers.

Tougher AML standards on horizon for US investment advisers

Tougher AML standards on horizon for US investment advisers 1400 787 Risky Women
FinCEN has proposed a rule aimed at enhancing anti-money laundering and counter-financing of terrorism measures within the investment advisory sector

Latest financial crime update highlights FCA focus on technology

Latest financial crime update highlights FCA focus on technology 1200 675 Risky Women
useful insights into regulator’s priorities for the coming year, in particular when it comes to the use and oversight of technology
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