31 October 2025 | Americas

SEC crypto custody relief provides much needed clarity

The Simpson Thacher & Bartlett relief provides much needed clarity for crypto assets. The SEC allowing state-chartered trust companies to act as crypto custodians expands options for advisers, but the…

28 October 2025 | UK & Europe

FCA review on customer journeys highlights Consumer Duty risks

The FCA review of ‘Digital design in customers online journeys’ signals how firms need to ensure their journeys balance efficiency with delivering good outcomes under the Consumer Duty. The regulator’s…

28 October 2025 | Asia

Getting licensed by the Securities and Futures Commission in Hong Kong

Our guide breaks down the licensing process, providing practical insight through each stage

24 October 2025 | UK & Europe

FCA publications put spotlight back on Corporate Finance Firms

The FCA has released two publications in October 2025 relevant to corporate finance firms. One examining anti-financial crime controls and the other outlining its findings from its multi-firm review that…

21 October 2025 | UK & Europe

A conversation with Cilla Torode: Oversight, client trust, and why compliance doesn’t have to be lonely

Cilla is our Regulatory and Compliance Practice Lead in Guernsey, with over 25 years’ experience across insurance, regulatory engagement and consulting. She leads the local team, supports clients with prescribed…

1 October 2025 | UK & Europe

Conduct takes centre stage with SM&CR and non-financial misconduct proposals

The FCA, Treasury and PRA are tabling proposed changes to the SM&CR, alongside raising standards around non-financial misconduct. At her recent Mansion House speech, Rachel Reeves announced her intention to…

30 September 2025 | Americas

Tokenized securities are still securities: Why RIAs must close the compliance gaps now

“Tokenized securities are still securities.” That was the reminder delivered earlier this year by SEC Commissioner Hester Peirce. For RIAs operating under the Advisers Act, the implication is equally direct.…

30 September 2025 | UK & Europe

GFSC raises the bar with conflicts of interest review

The GFSC has released its long-trailed thematic review into conflicts of interest. While the reports acknowledge that most firms have frameworks in place to identify conflicts, the regulator has also…

23 September 2025 | UK & Europe

Market Watch 83: FCA turns up the heat on corporate finance firms

Corporate finance firms have been getting more attention from the FCA over the past few years, in the form of a Dear CEO letter in 2023, then a sector-specific survey…

16 September 2025 | Asia

SFC enforcements highlight continued focus on market integrity

The SFC continues to intensify its enforcement activity, with several notable cases underscoring the consequences of compliance failures. These actions covering fund management oversight, disclosure obligations, client asset protection and…

12 September 2025 | Asia

The future of virtual assets: Insights from the SFC’s latest consultation

On 27 June 2025, the Financial Services & the Treasury Bureau and the Securities and Futures Commission jointly issued two consultation papers on new licensing regimes for virtual assets dealing…

10 September 2025 | Americas

SEC driving a “back to basics” enforcement philosophy

While much discussion lately is focused on the SEC’s changing stance – to govern by rule and less by enforcement, there’s still plenty of evidence to demonstrate that firms’ shouldn’t…