Insights

Optima Newsletter

March 30, 2026

UAE Operational Resilience, Regulatory Expectations and Remote Working Considerations

March 25, 2026

Temporary Relocation Options to Hong Kong During the Current Crisis in the Middle East

March 18, 2026

Court Vacates DOL’s 2024 Retirement Security Rule - Prior Regulatory Framework Remains in Place

March 16, 2026

Optima Newsletter

March 16, 2026

Event

Latest FCA Authorisation Trends: Optima Webinar

March 16, 2026

SEC Charges Madison Capital Funding, LLC, a formerly Registered Investment Adviser, with Improper Principal Transactions and Valuations

March 13, 2026

Prediction Markets: Emerging Compliance Considerations for Regulated Advisers

March 09, 2026

NFA Proposes Repeal of Interpretive Notice 9071 Relating to Reporting Financial Information on Forms PQR and PR

March 06, 2026

Weekly Newsletter

March 03, 2026

California Diversity Disclosure Law Compliance Support Services

February 18, 2026

California’s Mandatory Diversity Reporting For VC Fund Managers

February 10, 2026

Weekly Newsletter

February 03, 2026

SEC Publishes Updates to Marketing Compliance FAQs on the Use of Model Fees and Eligibility of Persons Providing Testimonials and Endorsements

January 30, 2026

Weekly Newsletter

January 27, 2026

SEC Publishes Risk Alert on Marketing Rule Violations Related to Testimonials, Endorsements, and Third-Party Ratings

December 23, 2025

CFTC Approves No-Action Relief from Registration as a CPO or CTA for Certain RIAs

December 22, 2025

Fund Liquidity Risk Management

December 18, 2025

Update: 13F-2 Delayed

December 12, 2025

European Commission Updates List of High-Risk Third Countries

December 11, 2025

SEC Resumes Operations With Immediate Enforcement Action After Shutdown

November 21, 2025

SEC Announces 2026 Examination Priorities

November 19, 2025

NFA Virtual Currency Update - Interpretive Notice 9073 Repealed & Compliance Rule 2-51 Amended

October 31, 2025

Welcome to Optima’s cybersecurity newsletter

September 22, 2025

27 Aug 2025 - JMLSG Guidance Revisions

August 27, 2025

10 Jun 2025 - European Commission Updates List of High-Risk Countries

June 10, 2025

16 Apr 2025 - Future regulation of Alternative Investment Fund Managers

March 16, 2025

14 Mar 2025 - EMIR reporting changes

March 14, 2025

7 Mar 2025 - Prevention of Fraud Offence - Effective 1 September 2025

March 07, 2025

29 Nov 2024 - The FCA Financial Crime Guide Updates

November 29, 2024

25 Nov 2024 - Economic Crime and Corporate Transparency Act 2023

November 25, 2024

22 Nov 2024 - Transaction Reporting Developments

November 22, 2024

23-25 Oct 2024 - FATF Plenary Meeting Outcomes

October 23, 2024

18 Oct 2024 - Powers of OTSI and the new reporting requirements for suspected breaches of UK trade sanctions

October 18, 2024

08 Aug 2024 - The EU’s New Anti-Money Laundering and Countering the Financing of Terrorism Framework

August 08, 2024

05 Aug 2024 - EU adopts 14th package of sanctions against the Russian Federation

August 05, 2024

05 Aug 2024 - Payment optionality for investment research

August 05, 2024

12 Jul 2024 - FinCEN Proposes New Rule to Strengthen AML and CFT Programs

July 12, 2024

07 Jun 2024 - US Beneficial Ownership Information reporting impact on UK firms

June 07, 2024

Jennifer A. Duggins, former Co-Head of SEC's Private Funds Unit, joins Optima Partners

May 28, 2024

Optima Partners Establishes Legal Entity with ADGM to Expand Middle East Operations

May 21, 2024

16 May 2024 - Financial Crime Guide in relation to sanctions, proliferation financing and transaction monitoring

May 16, 2024

Optima Partners Welcomes Michael Timotheou as President and COO, Bringing Extensive Compliance Expertise and Global Leadership

May 03, 2024

05 Mar 2024 - FCA warns firms over anti-money laundering failings

March 05, 2024

21-23 Feb 2024 - FATF Plenary Meeting Outcomes

February 21, 2024

02 Feb 2024 - Money Laundering and Terrorist Financing Controls In High-Risk Third Countries

February 02, 2024

02 Feb 2024 - The European Council and Parliament reach an agreement on stricter AML rules

February 02, 2024

12 Jan 2024 - EMIR reporting changes

January 12, 2024

12 Jan 2024 - The Money Laundering and Terrorist Financing (Amendment) Regulations 2023 – Domestic PEPs

January 12, 2024

04 Dec 2023 - Change to UK Reporting Threshold for Net Short Positions

December 04, 2023

29 Nov 2023 - FATF Plenary Outcome

November 29, 2023

23 Oct 2023 - FCA publishes report highlighting the effectiveness of firms' sanctions systems and controls

October 23, 2023

23 Oct 2023 - Optima Risk Alert - 2024 Exam Priorities

October 23, 2023

06 Oct 2023 - Diversity and Inclusion

October 06, 2023

19 Sep 2023 - FCA sets expectations ahead of incoming crypto marketing rules

September 19, 2023

13 Sep 2023 - Share Trading Obligation and Derivatives Trading Obligation

September 13, 2023

07 Sep 2023 - Appointed Representatives

September 07, 2023

01 Sep 2023 - FCA sets out expectations for UK cryptoasset businesses complying with the Travel Rule

September 01, 2023

14 Aug 2023 - FCA Market Watch 74 and Supervisory Flexibility on UK MiFIR Transaction Reporting

August 14, 2023

17 Mar 2023 - FCA Launches Consumer Duty Firm Survey

March 17, 2023

14 Mar 2023 - FCA Multi Firm Review

March 14, 2023

7 Mar 2023 - FCA Levies - Economic Crime Levy

March 07, 2023

Jan 2023 - Optima Partners SEC Marketing FAQ

January 01, 2023

7 Sep 2022 Market Abuse Systems and Controls

September 07, 2022

1 Sep 2022 Strengthening of Financial Promotion Rules

September 01, 2022

26 Aug 2022 Consumer Duty

June 26, 2022

18 Aug 2022 Annual FINRA Entitlement Certification

June 18, 2022

9 Jun 2022 US Deputy Attorney General Statement on Heightened Sanctions Enforcement Focus

June 09, 2022

27 May 2022 FCA Fees: Form A Application

May 27, 2022

12 May 2022 Financial Crime Controls

May 12, 2022

01 April 2022 Changes to PRIPPs Regime

April 01, 2022

23 March 2022 MIFIDPRU TP 7 Notification Update

March 23, 2022

14 March 2022 End of Temporary Transitional Powers (TTP)

March 14, 2022

09 March 2022 SFC Measures to Deal with Disruptions Caused by Financial Distress and Insufficient Responsible Officers

March 09, 2022

EU Short Selling Regulation – EU Minimum Threshold Change to 0.1%

March 09, 2022

25 Feb 2022 UK, EU and US Sanctions Responses to the Situation in Ukraine

February 25, 2022

14 Jan 2022 Climate related Disclosures Final Rules

January 14, 2022

11 Jan 2022 Senior Managers and Certification Regime (SMCR) – Directory Persons

January 11, 2022

11 Jan 2022 SFC Operational Resilience in view of Covid Fifth Wave

January 11, 2022

6 Jan 2022 SFC Introduces Next Generation Digital Online Portal

January 06, 2022

6 Jan 2022 Alert Changes to LIBOR

January 06, 2022

3 December 2021 Changes to UK MIFIDs conduct and organisational requirements

December 03, 2021

10 November 2021 Investment Firms Prudential Regime (IFPR) Update

November 10, 2021

05 November 2021 IFPR Update

November 05, 2021

28 October 2021 Daylight Saving Time Will End This Sunday

October 28, 2021

12 October 2021 Temporary Marketing Permissions Regime (TMPR) Ending

October 12, 2021

4 October 2021 SFC Operational Resilience and Remote Working

October 04, 2021

20 September 2021 SFC AML Consultation Conclusion Summary Changes

September 20, 2021

25 August 2021 SFC Circular on Disclosure of Climate-related Risks by Fund Managers

August 25, 2021

30 July 2021 Investment Firms Prudential Regime (IFPR)

July 30, 2021

29 July 2021 Sustainable Finance Disclosures Regulation Alert

July 29, 2021

30 June 2021 Personal Data Flows: Adequacy Decision

June 30, 2021

23 June 2021 Climate-related Disclosures

May 23, 2021

18 June 2021 SFC Consultation Conclusions Proposed Enhancements to Competency Framework

May 18, 2021

6 May 2021 Bloomberg Retention Periods

May 06, 2021

16 Mar 2021 EU Short Selling Regulation - Threshold Change

March 16, 2021

16 April 2021 Annual Financial Crime Report

March 16, 2021

5 March 2021 EMIR Reporting - Changes

March 05, 2021

1 Mar 2021 Senior Managers & Certification Regime. End of extension period

March 01, 2021

4 Dec 2020 Shareholder Notification - New Reporting System

December 04, 2020

27 Nov 2020 Brexit Countdown - SFTR Update

November 27, 2020

18 Nov 2020 Investment Firm’s Prudential Regime Delayed

November 18, 2020

Optima successfully expands into Hong Kong!

November 06, 2020

28 Oct 2020 Brexit Countdown

October 28, 2020

23 Oct 2020 Daylight saving time will end this Sunday

October 23, 2020

18 Sept 2020 SEC to recommence registering UK firms as Registered Investment Advisers

October 18, 2020

12 Oct 2020 Senior Managers and Certification Regime (SMCR) REP008

October 12, 2020

9 Oct 2020 10% Depreciation Rule

October 09, 2020

11 Sep 2020 Securitisation Templates

September 11, 2020

1 Sept 2020 Securities Financing Transactions Regulation (SFTR) reporting reminder

September 01, 2020

26 Aug 2020 Annual Financial Crime Report

August 26, 2020

17 Aug 2020 Post Trade Transparency

August 17, 2020

16 July 2020 Shareholder Rights Directive II (SRD II) Final Phase

July 16, 2020

2 July 2020 Extension of the Senior Managers Certification Regime implementation period

July 02, 2020

1 July 2020 EU Commission High Risk Third Country List

July 01, 2020

24 June 2020 Senior Managers and Certification Regime (SM&CR) The Directory

June 24, 2020

5 June 2020 Liquidity Stress Testing in UCITS and AIFs

June 05, 2020

26 May 2020 Scam Due Diligence Email

May 26, 2020

12 May 2020 EMIR Reporting Changes

May 12, 2020

24 April 2020 Sustainability Regulation Update

April 24, 2020

17 April 2020 Weekly reporting obligation imposed by CSSF

April 17, 2020

2 April 2020 Adaptation to the FCAs regulatory approach in response to the COVID19 crisis

April 02, 2020

19 March 2020 Short Selling Notifications Temporary Bans Submitting Notifications and other

March 19, 2020

16 March 2020 Client and Market Notifications

March 16, 2020

5 March 2020 Sustainability Regulation

March 05, 2020

7 Feb 2020 Securities Financing Transactions Regulation Non EU AIFs out of reporting scope

February 07, 2020

21 Jan 2020 Overview of Investment Firm Regulation and Directive

January 21, 2020

20 Jan 2020 Firm Details Reporting to FCA

January 20, 2020

15 Jan 2020 Securities Financing Transactions Regulation ESMA Guidelines

January 15, 2020

3 Jan 2020 Short Selling Changes to means of Notification

January 03, 2020

6 Dec 2019 Securities Financing Transactions Regulation

December 06, 2019

5 Dec 2019 Data Protection Fee Collection

December 05, 2019

22 Oct 2019 FCA Concerns Personal Account Dealing and Transaction Reporting

October 22, 2019

3 Oct 2019 Funds Investing in Inherently Illiquid Assets (FIIA)

October 03, 2019

26 Sep 2019 EMIR Clearing Obligation and MiFIR Derivatives Trading Obligation Final Reminder

September 26, 2019

19 Aug 2019 FCA Authorisations Approach

August 19, 2019

17 July 2019 Cross boarder Distribution of Collective Investment Undertakings

June 17, 2019

10 June 2019 EMIR REFIT A Reminder

June 10, 2019

10 July 2019 Asset Management Market Study Final Rules

June 10, 2019

28 May 2019 EMIR REFIT

May 28, 2019

25 April 2019 Senior Managers and Certification Regime (SM&CR)

April 25, 2019