Regulatory Compliance Watch’s Post

CRC assists organizations in successfully becoming regulated entities, provides guidance and industry expertise throughout the life of the licensing process, and is available to provide continued support, all while keeping abreast of significant regulatory updates and industry best practices. We believe it is vital to take a proactive and risk-based approach toward compliance with regulatory guidance and oversight from FinCEN, state regulators, the SEC, and FINRA. Click below to learn more about our Service Model & Verticals. 🔗 https://lnkd.in/g_WhgqR #ComplianceConsulting #Regulatory #FinancialRegulation #Compliance #RiskManagement #FinCEN #SECCompliance #FINRARegulations #FinancialCompliance

Hear directly from the #SEC at this year's Private Fund Compliance Regulatory Forum You'll return to your office with a better understanding of... ✔️ 2024 exam priorities ✔️ How to be proactive in your exam preparation ✔️ Recent enforcement actions ✔️ How to avoid a referral after receiving a deficiency letter ✔️And more... Prices increase tomorrow so be sure to secure your place today: https://lnkd.in/eFhrC_wi #PFC #compliance #privatefundcompliance #SECexam #SECenforcement #financialcompliance #regulatorycompliance Kellie Green

Stay ahead of regulatory changes with our Monthly Regulatory Summary! Dive into key updates from FINRA, SEC, NFA, and FinCEN, including compliance deadlines and expert insights. Don't miss out on the latest developments that could impact your business. Click below to check out our Monthly Regulatory Summary for February and ensure you're well-informed about the ever-evolving regulatory landscape. 📝 #MonthlyRegulatorySummary #RegulatoryCompliance #FinancialRegulations #ComplianceInsights #SEC #FINRA #Compliance #NFA #FinCEN

🔍 Stay Compliant with FCA’s CASS Rules and Avoid Costly Mistakes! In the face of financial turmoil, the FCA’s Client Assets Sourcebook (CASS) plays a crucial role in safeguarding client assets. Learn from enforcement actions involving BlackRock, Aviva, and One Call and understand the importance of maintaining robust CASS compliance to protect your firm and clients. Click the link to read more and discover how Complyport can help you navigate CASS requirements and ensure regulatory compliance. 👉 Read the Full Article: https://lnkd.in/ejP7tE8h #FCA #CASS #Compliance #RiskManagement #FinancialRegulation #Complyport

🇬🇧 OFSI issued general licence - INT/2024/4836676: Payments to the FCA on 20th June. The licence:  ➡️ Permits an individual or a body of persons corporate or unincorporate to make Permitted Payments to the FCA on behalf of a UK designated individual or entity;  ➡️ Allows authorised UK financial services firms including EMIs and PSPs to process payments on behalf of those designated; and  ➡️ Requires those acting on behalf of designated individuals and entities to report to OFSI within 14 days of making a Permitted Payment. Firms should review the new general licence and take any appropriate action to ensure compliance with their financial sanctions obligations. 🔗 Learn more: https://lnkd.in/ewEznvh9

EdgarAgents provides the expertise and assurance you need to help ensure your compliance, elevate your marketing materials and conquer regulatory complexities. #FileWithConfidence #MutualFunds #InvestmentManagement #AssetManagement #SEC #FinancialServices #ETFs #Compliance

Find out what's hot in the regulatory compliance world with the latest 𝗥𝗖𝗪 𝗪𝗲𝗲𝗸𝗹𝘆 𝗕𝗿𝗶𝗲𝗳𝗶𝗻𝗴: ▪️ Check out new SEC document request letters exclusively from RCW ▪️ Should regulators keep their paws off of the private credit market ▪️ A list of compliance consultants ▪️ And much more... #RCW #RegulatoryCompliance #PrivateEquity #FinCEN #SEC

SEBI has released a Master Circular dated 23rd September, 2024 on Surveillance of Securities Market #sebi #compliance #complianceofficer #compliancemanagement #cs #companysecretary #pit #master #circular #stayupdated #corporateupdates

Breaking News: FCA's New PEP Guidelines 🎯 Did you know the UK Financial Conduct Authority (FCA) recently announced revisions to its PEP compliance framework? 🇬🇧 These changes aim to reduce unnecessary burdens on domestic PEPs while enhancing oversight for higher-risk international figures. 💡 What’s at stake? Institutions must adapt their processes now to meet these new expectations. Discover actionable steps to align your compliance strategy with these changes. 🛡️ Stay compliant—stay ahead! #PEPCompliance #FCAUpdates #AML #RiskManagement #UKRegulations

Our October 2024 Monthly Newsletter is out, covering notable regulatory news from the last month in the UK, the EU and the US, and highlighting key dates and deadlines. Click below for our October 2024 Monthly Newsletter.... #MonthlyNewsletter #compliance #fca #sec #nfa #cftc #esma #RQCGroup