All the very best wishes to clients, collaborators, industry partners, competitors, and prospects to see you through the end of 2021 and into the new year. Hopefull of a less challanging environment but as always prepared on your behalf.
- Don't forget to copy any outstanding/draft/unsubmitted sfc portal applications down before 6pm 30th December
- We are preparing for BRMQ 2022 within 4 months of your fiscal year end - We are running through our annual year end checklists (Governance, MIC Review, Risk Assessments) to ensure all relevant matters have been addressed.
- Clients with US support needs: Please refer to latest weekly updates from ACA Global on new year planning and various useful Christmas crackers. New US marketing rules, ESG, and insider trading will be high on the agenda for next year and if not already captured by your own technology partner, please refer to recent technology vulnerabilities and recommeded actions (from ACA).
- Please also be reminded to check updates on sanctioned Persons Lists from both SFC and other relevant regulators for the most recent updates (e.g. OFAC)
We are working on a few more useful deliverables to assist our clients maintain their compliance status in the new year and as usual will provide our Quarter 4 lookback and update in January.
I wanted to take this opportunity to thank the team for all their hard work this year and our clients for continuing to support us.