Key Takeaways The FCA has finalised major reforms to the UK MiFIR transaction reporting regime. Reporting will focus on financial instruments traded on UK trading venues. FX derivatives will no longer be reportable under UK MiFIR. The FCA will reduce reportable fields from 65 to 52. Firms should begin assessing reporting logic, systems, and data […]
UK Transaction Reporting Gets a Major Reset Read More »
At a Glance AI is becoming an integral part of operations across UAE financial services. Regulatory attention is now shifting towards how firms govern AI, with increasing expectations around accountability, transparency, human oversight, and risk management. AI has rapidly shifted from experimentation to day-to-day operations across the UAE financial services sector. Just as quickly, the
AI Governance in UAE Financial Services Is Becoming a Regulatory Priority Read More »
AI Is Compressing Cyber Risk and Most Firms Aren’t Ready Advances in AI are dramatically shrinking the time it takes to identify and exploit vulnerabilities. What once played out over months can now happen in days. At the same time, AI is no longer just a tool. It’s becoming embedded inside enterprise environments, interacting with
The AI Security Inflection Point: What the Frontier AI Era Means for Firms Read More »
Introduction Chief Compliance Officer (CCO) transitions can create significant operational and regulatory challenges for investment advisers. During a leadership transition, firms must maintain oversight of their compliance programs, meet applicable regulatory obligations, and support day-to-day business operations. Many firms address this risk by engaging an interim CCO or experienced compliance professional to maintain continuity while
Maintaining Regulatory Readiness During a CCO Transition Read More »
For the past several years, the UK’s approach to regulating cryptoassets has centered on one primary objective: reducing financial crime. Firms seeking authorisation under the Money Laundering Regulations invested heavily in customer due diligence, sanctions screening, transaction monitoring, and AML controls. Those obligations remain essential, but they no longer define the full scope of regulatory
Crypto Firms Face More Than Financial Crime Challenges Read More »
Launching a private fund is an important step for emerging investment managers. Navigating registration requirements can also be complex. From determining whether you need SEC or state registration to preparing core compliance documents like Form ADV, many managers face challenges that can delay their fund launch or create unnecessary regulatory risk. Are you wondering: Does
Your Step-by-Step Guide for Registering a New Private Fund Read More »
Key Takeaways A critical WordPress core vulnerability chain could enable unauthenticated remote code execution. Public proof-of-concept exploit code is available. No plugins, credentials, or user interaction are required for exploitation. Organizations should apply vendor-recommended updates immediately. Temporary mitigations should only be used until patches can be deployed. Beyond addressing the immediate vulnerability, organizations should evaluate
More firms in the investment management industry are using AI than ever before. AI tools are helping teams summarize research, monitor threats, automate workflows, and strengthen cyber defenses. But as adoption grows, so do new risks, including autonomous systems operating outside intended boundaries, AI-generated errors or hallucinations, generative AI-powered attacks, and uncertainty over who is
How AI Is Changing the Rules of Cyber Insurance Read More »
Crypto regulation in the UK is entering a decisive phase. As the FCA develops its future cryptoasset framework, attention is naturally turning towards authorisation. Firms are trying to understand what permissions they may need, when the authorisation gateway will open, and how the new regime could affect their business models. What many firms may underestimate
Why FCA Crypto Authorisation Is More Than an Application Exercise Read More »
When a merger or acquisition (M&A) transaction closes, private equity firms, corporate acquirers, investment firms, and strategic buyers inherit more than assets and people. They also inherit a significant portion of the target’s cybersecurity posture, including vulnerabilities, compliance gaps, shadow IT, third-party exposures, and, in some cases, an undetected breach already in progress. For private
A Cybersecurity Playbook for the First 100 Days After M&A Read More »
