Misuse of personal devices at work
You may have seen an article we wrote in March this year on the risks associated with mobile messaging and how regulating record keeping practices in financial services firms is […] [...]
You may have seen an article we wrote in March this year on the risks associated with mobile messaging and how regulating record keeping practices in financial services firms is […] [...]
Regulating record-keeping practices, whilst important, has not always been a top priority for financial services regulators around the world—especially as the monitoring of such activity (to a greater or lesser […] [...]
Of relevance to: All US sub-advisers to FCA-regulated MiFID managers Key date: Applicable from 3 January 2018 until 3 July 2020 In response to concerns that investors could lose access […] [...]
On 25 August 2015, the Financial Crimes Enforcement Network (FinCEN), a bureau of the U.S. Department of the Treasury, proposed new rules (the Proposed Rules), requiring “certain” registered investment advisers […] [...]
In late June 2015, the United States Securities and Exchange Commission (SEC) Division of Investment Management released Guidance Update No. 2015-03 entitled “Personal Securities Transactions Reports by Registered Investment Advisers: […] [...]
34 Lime Street
London
EC3M 7AT
United Kingdom
+44 (0)20 7399 4980
info@complyport.co.uk
Emirates Financial Towers
South Tower
Level 3, Office 308
DIFC, Dubai
United Arab Emirates
info@ae.complyport.com
2 Diagorou
ERA House
Ground Floor, 1097
Nicosia
Cyprus
info@cy.complyport.com
© Complyport 2025 | All Rights Reserved.