Bovill Newgate

As regulations shift, staying ahead in the FCA authorisation process is crucial. Haydon Thomas outlines essential considerations for a seamless FCA application and actionable tips for a smoother and quicker process > https://lnkd.in/eqdaqtV4 #FCA # Compliance

Have you entered the "Risky Women Write" competition yet? 🖊️ We're proud to sponsor this initiative, aimed at amplifying female voices in governance, risk, regulation, and compliance. With three cash prizes up for grabs, this is your chance to shine and contribute to our incredible community! Ready to participate? Check out the details here: https://lnkd.in/eJ_wwRHF #RiskyWomen #Governance #Risk #Regulation #Compliance Risky Women

Navigating different regulatory landscapes can be challenging for firms operating in both the UK and the US or those looking to expand across the Atlantic. Ryan Stibich and Ronnie K. share their insights to help firms understand the essentials of cross-border regulatory requirements and maintain compliance on both sides of the pond: https://lnkd.in/dz-VGGPg #SEC #FCA #Compliance

The SFC has been pushing enforcement efforts to uphold market integrity, including increased criminal prosecution for investigations at the District Court and the Court of First Instance. With the Hong Kong regulator turning its eye towards ramp-and-dump schemes and insider trading, Joanne Hui explains how firms can demonstrate a proactive commitment to compliance and ethical business conduct: https://lnkd.in/eNafpw9X #SFC #RampAndDump #InsiderTrading

The FCA has just issued its first final notice to an audit firm over the handling of a CASS audit – a sign of the regulator's ongoing commitment to upholding quality standards within the CASS regime. Chloé Arnold-Martin (ACA BFP) and Marianne Phillips tackle some of the most frequently asked questions about CASS audits, emphasising the importance of choosing an auditor with the right expertise > https://lnkd.in/eGs4vQvq #CASS #Audits #FCA #CapitalMarkets

As a leading financial hub, the Cayman Islands is uniquely positioned to effectively address higher AML risk levels in the Caribbean 🇰🇾 It’s crucial that directors undertake comprehensive training to understand these risks and safeguard their organisations effectively. In this article, Ocorian’s Alice Aherne and Laura Redman break down Cayman Islands AML regulations, the benefits of AML training for directors, and their role in preventing money laundering: https://lnkd.in/eeq_-w6b #AML #RCL #AMLRegulations

🌍 In our recent webinar with Ocorian and Treety, Hatim Baheranwala shared a game-changing ESG reporting strategy for building effective reporting frameworks. From faster data collection to pinpointing roadblocks, the right approach can supercharge your ESG journey. Ready to tackle ESG compliance head-on? Learn more: https://lnkd.in/etJPDv-7 #Compliance #ESG

Getting FCA authorisation is crucial, though it has its share of challenges. Recently, the regulator released a list highlighting frequent mistakes made by asset management firms seeking authorisation or permission variations. This list provides food for thought if you’re planning to file an authorisation and get it right the first time: https://lnkd.in/eigii37a #FCA #AssetManagement

In our July US Newsletter, we looked at how Boards can avoid tech risks, recent SEC charges around fraud and crypto, and the private fund rules. #SEC #fraud #crypto #privatefundrules

In this snippet from our recent ESG webinar with Ocorian and Treety, Abi Reilly discusses how the EU’s SFDR reporting requirements are set. She also highlights how the reality of providing evidence for reporting has led to the introduction of product categories – not too dissimilar from the UK’s SDR. Watch the snippet below or request the full webinar and learning materials from the session here: https://lnkd.in/dpfdgSSZ #ESG #SFDR #SDR