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The Seven Deadly Sins of ICARA Compliance: Navigating Pitfalls and Embracing Best Practices
The FCA’s ICARA (Internal Capital Adequacy and Risk Assessment) requirements under the IFPR (Investment Firm Prudential Regime) aim to help...
Facing the FCA: Managing Scrutiny and Strengthening Compliance with Health Checks and Mock Reviews
In light of the Financial Conduct Authority’s (FCA) proposals to announce enforcement investigations against firms and its continuing emphasis on...
Regulatory Readiness in the UAE: Meeting DFSA and FSRA Standards
Financial firms operating in the Dubai International Financial Centre (DIFC) and the Abu Dhabi Global Market (ADGM) face heightened expectations...
Bermuda’s Personal Information Protection Act (PIPA): So Close and Yet So Far From GDPR
Bermuda’s Personal Information Protection Act of 2016 came into full force on January 1st, 2025. While PIPA is intended to...
Guidance Statement for OCIO Portfolios: What you need to know
The CFA Institute recently released the final Guidance Statement for OCIO Portfolios. How does this Guidance Statement impact OCIO firms...
Maximizing Preparedness: The Benefits of Conducting a Mock SEC Exam
Join us Tuesday, December 17th at 11:00am ET for a live webcast where we’ll explore the significant advantages of conducting...
Navigating FINRA’s New Branch Office Inspection Rules
FINRA made major changes to the annual branch office inspection requirements this year with the implementation of a Remote Branch...
2025 SEC Examination Priorities: What you need to know
The SEC recently released a list of their priorities for 2025 closely followed by a Risk Alert for Registered Investment...
The Most Wonderful Time of The Year: Tailoring Your Annual Compliance Review
In today’s rapidly evolving regulatory landscape, conducting an effective annual review has become more challenging. To help you navigate these...
Modern Compliance: Capturing Mobile and Social Media Communications
With the widespread use of mobile devices and social media for business communications, firms worldwide must navigate the complexities of...
Getting Ahead of FinCEN’s AML Regulations: What RIAs and ERAs Need to Know
Get ahead of the curve with expert insights on how FinCEN’s new rule – effective January 1, 2026 – will...
Navigating Change: The Impact of a Trump Presidency on U.S. Financial & Securities Regulation
During his campaign for President, Donald Trump hinted at making sweeping changes to the SEC, including replacing Chair Gary Gensler....