Regulatory Readiness in the UAE: Meeting DFSA and FSRA Standards
Join us for a webcast that provides actionable insights to help you stay ahead, mitigate regulatory risk, and enhance your compliance framework.
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory compliance news and change while navigating the pressures of geopolitical threats, economic crises, and third-party risks. Uncertain times require a nimble approach to achieve compliance and address business priorities in new ways to enable innovation and growth while minimizing risk.
As the global regulation continues to change, it's key that you keep up to speed with latest developments. Here we capture the latest regulatory compliance trends, industry insights, risk alerts, and events.
Asset managers are turning to GP-led secondary transactions, or continuation funds, to navigate high interest rates and limited liquidity. This growing practice helps manage illiquid assets but has raised SEC concerns over conflicts of interest and investor risks.
Operational resilience is crucial for financial services firms facing rising regulatory demands, cyber threats, and stakeholder expectations. Our checklist helps you strengthen key areas.
The best way to track employees’ personal trading is by using RegTech that automatically monitors for parameters set up by the compliance team. However, this technology is not always available.
Our calendar provides key reporting deadlines and regulatory obligations for asset managers registered with the SEC, CFTC, NFA, UK FCA, ESMA, DFSA, and FSRA.
Get ready for the year ahead with our FINRA Regulatory Filings Calendar. This user-friendly resource outlines key reporting deadlines and ongoing annual regulatory obligations in a clear, easy-to-follow format.
Santa’s workshop offers valuable insights for vendor management in the financial industry. With careful planning, continuous oversight, and high standards, firms can mitigate risks, enhance performance, and achieve seamless results.
Join us for a webcast that provides actionable insights to help you stay ahead, mitigate regulatory risk, and enhance your compliance framework.
Join us on Tuesday, February 11, 2025, at 2pm GMT when we delve into practical strategies to enhance your firm's FCA compliance readiness.
Join us in sunny Orlando, Florida for ACA's 2025 Conference, "Preparing Today, Protecting Tomorrow," where industry leaders and experts will converge to explore the evolving landscape of financial services.