Our January 2025 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took place last month in the UK, the EU and the US.
This month we cover the following:
- UK
- The FCA and the UK’s growth initiatives
- The UK’s approach to operational resilience
- The Short Selling Regulations 2025
- FCA fines broker £99,200 for transaction reporting failures
- Overseas Funds Regime: Update for firms
- Regulatory developments for brokers, and impact on the buy-side
- Consumer Redress Liabilities: the polluter pays
- FCA objects to Change in Control due to failures to meet standards
- FCA fines Arian Financial LLP £288,962.53 for failings related to cum-ex trading
- EU
- EU Round-up
- US
- SEC extends Form PF Amendments compliance date
- SEC charges investment adviser for breach of fiduciary duties
- Twelve firms settle more than $63 million in combined SEC charges for recordkeeping failures
- SEC charges advisory firm with misrepresenting its anti-money laundering procedures
- SEC seeks permanent injunction against firm and to bar its CIO for cherry picking
- Key upcoming dates and deadlines
Click below to view and download our January 2025 Newsletter:
January 2025 Monthly Regulatory Newsletter
Click for further articles on the latest regulatory developments.
Our January 2025 Monthly Newsletter is out, covering a roundup of notable regulatory news and activities that took place last month in the US, the UK and the EU.
This month we cover the following:
- US
- SEC extends Form PF Amendments compliance date
- SEC charges investment adviser for breach of fiduciary duties
- Twelve firms settle more than $63 million in combined SEC charges for recordkeeping failures
- SEC charges advisory firm with misrepresenting its anti-money laundering procedures
- SEC seeks permanent injunction against firm and to bar its CIO for cherry picking
- UK
- The FCA and the UK’s growth initiatives
- The UK’s approach to operational resilience
- The Short Selling Regulations 2025
- FCA fines broker £99,200 for transaction reporting failures
- Overseas Funds Regime: Update for firms
- Regulatory developments for brokers, and impact on the buy-side
- Consumer Redress Liabilities: the polluter pays
- FCA objects to Change in Control due to failures to meet standards
- FCA fines Arian Financial LLP £288,962.53 for failings related to cum-ex trading
- EU
- EU Round-up
- Key upcoming dates and deadlines
Click below to view and download our January 2025 Newsletter:
January 2025 Monthly Regulatory Newsletter
Click for further articles on the latest regulatory developments.
