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United Kingdom | 23 Feb 2024

FCA: Improvement for consumer outcomes needed

As the date for the full implementation of the UK Consumer Duty looms, the UK financial regulator has warned that institutions still need to improve consumer outcomes.
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Lexology PRO | European Union | 21 Feb 2024

EBA introduces new business indicator operational risk framework

The European banking regulator has released consultation packages on operational risk management to implement the Basel III standards and the European Banking Package.
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Covington & Burling LLP | USA | 20 Feb 2024

Proposed AML/CFT Program Rule for Covered Investment Advisers: 6 Things To Know

On February 13, 2024, the Department of the Treasury’s (“Treasury”) Financial Crimes Enforcement Network (“FinCEN”) released a notice of proposed…
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Lexology PRO | Germany | 19 Feb 2024

BaFin sets first standards on CSRBB supervision

The German financial regulator has redrafted its banking risk management handbook to adopt a specific approach in overseeing credit spread risks following the EBA’s 2023 CSRBB guidelines.
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Loeb Smith Attorneys | Hong Kong | 19 Feb 2024

SFC in Hong Kong reprimands and fines Hong Kong manager for fund management failures in respect of a Cayman Islands incorporated fund

On 5 February 2024, the Securities and Futures Commission in Hong Kong (“SFC”) published a Statement of Disciplinary Action, which found that PICC…
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RPC | United Kingdom | 19 Feb 2024

How should Financial Institutions manage the rise of non-financial misconduct?

Over the last few months, Parliament's Treasury Committee has sought to examine the many barriers faced by women in financial services through the…
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Fried Frank Harris Shriver & Jacobson LLP | USA | 16 Feb 2024

FinCEN Issues Proposed Rule Imposing Anti-Money Laundering Obligations on Investment Advisers

On February 15, 2024, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) issued a proposed rule (“the Proposed…
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Lexology PRO | Canada | 15 Feb 2024

OSFI upgrades supervisory and risk assessment regime

The Canadian banking regulator has amended its supervisory regime for the first time in 25 years.
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Lexology PRO | Hong Kong | 15 Feb 2024

Hong Kong to regulate virtual asset OTC services

Hong Kong’s government is seeking to tighten the supervision of over-the-counter virtual assets amid rising fraud and money laundering concerns.
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Burges Salmon LLP | United Kingdom | 14 Feb 2024

What is a collective investment scheme? The High Court gives its decision in FCA v Forster

In this article we examine the High Court’s decision in The Financial Conduct Authority v Forster & Ors on what is a collective investment scheme…
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