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

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

December 23, 2025

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

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

December 22, 2025

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Fund Liquidity Risk Management
Alert

Fund Liquidity Risk Management

December 18, 2025

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Update: 13F-2 Delayed
Alert

Update: 13F-2 Delayed

December 12, 2025

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European Commission Updates List of High-Risk Third Countries
Alert

European Commission Updates List of High-Risk Third Countries

December 11, 2025

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SEC Resumes Operations With Immediate Enforcement Action After Shutdown
Alert

SEC Resumes Operations With Immediate Enforcement Action After Shutdown

November 21, 2025

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SEC Announces 2026 Examination Priorities
Alert

SEC Announces 2026 Examination Priorities

November 19, 2025

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NFA Virtual Currency Update - Interpretive Notice 9073 Repealed & Compliance Rule 2-51 Amended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

NFA Virtual Currency Update - Interpretive Notice 9073 Repealed & Compliance Rule 2-51 Amended

October 31, 2025

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Welcome to Optima’s cybersecurity newsletter
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Welcome to Optima’s cybersecurity newsletter

September 22, 2025

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27 Aug 2025 - JMLSG Guidance Revisions
Alert

27 Aug 2025 - JMLSG Guidance Revisions

August 27, 2025

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

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

June 10, 2025

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16 Apr 2025 - Future regulation of Alternative Investment Fund Managers
Alert

16 Apr 2025 - Future regulation of Alternative Investment Fund Managers

March 16, 2025

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14 Mar 2025 - EMIR reporting changes
Alert

14 Mar 2025 - EMIR reporting changes

March 14, 2025

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

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

March 07, 2025

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29 Nov 2024 - The FCA Financial Crime Guide Updates
Alert

29 Nov 2024 - The FCA Financial Crime Guide Updates

November 29, 2024

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25 Nov 2024 - Economic Crime and Corporate Transparency Act 2023
Alert

25 Nov 2024 - Economic Crime and Corporate Transparency Act 2023

November 25, 2024

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22 Nov 2024 - Transaction Reporting Developments
Alert

22 Nov 2024 - Transaction Reporting Developments

November 22, 2024

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23-25 Oct 2024 - FATF Plenary Meeting Outcomes
Alert

23-25 Oct 2024 - FATF Plenary Meeting Outcomes

October 23, 2024

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

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

October 18, 2024

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

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

August 08, 2024

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

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

August 05, 2024

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05 Aug 2024 - Payment optionality for investment research
Alert

05 Aug 2024 - Payment optionality for investment research

August 05, 2024

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

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

July 12, 2024

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

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

June 07, 2024

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

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

May 28, 2024

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

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

May 21, 2024

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

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

May 16, 2024

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

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

May 03, 2024

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

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

March 05, 2024

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21-23 Feb 2024 - FATF Plenary Meeting Outcomes
Alert

21-23 Feb 2024 - FATF Plenary Meeting Outcomes

February 21, 2024

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

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

February 02, 2024

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

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

February 02, 2024

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12 Jan 2024 - EMIR reporting changes
Alert

12 Jan 2024 - EMIR reporting changes

January 12, 2024

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

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

January 12, 2024

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

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

December 04, 2023

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29 Nov 2023 - FATF Plenary Outcome
Alert

29 Nov 2023 - FATF Plenary Outcome

November 29, 2023

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

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

October 23, 2023

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23 Oct 2023 - Optima Risk Alert - 2024 Exam Priorities
Alert

23 Oct 2023 - Optima Risk Alert - 2024 Exam Priorities

October 23, 2023

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06 Oct 2023 - Diversity and Inclusion
Alert

06 Oct 2023 - Diversity and Inclusion

October 06, 2023

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

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

September 19, 2023

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13 Sep 2023 - Share Trading Obligation and Derivatives Trading Obligation
Alert

13 Sep 2023 - Share Trading Obligation and Derivatives Trading Obligation

September 13, 2023

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07 Sep 2023 - Appointed Representatives
Alert

07 Sep 2023 - Appointed Representatives

September 07, 2023

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

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

September 01, 2023

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

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

August 14, 2023

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17 Mar 2023 - FCA Launches Consumer Duty Firm Survey
Alert

17 Mar 2023 - FCA Launches Consumer Duty Firm Survey

March 17, 2023

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12 May 2022 Financial Crime Controls
Alert

12 May 2022 Financial Crime Controls

May 12, 2022

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01 April 2022 Changes to PRIPPs Regime
Alert

01 April 2022 Changes to PRIPPs Regime

April 01, 2022

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23 March 2022 MIFIDPRU TP 7 Notification Update
Alert

23 March 2022 MIFIDPRU TP 7 Notification Update

March 23, 2022

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14 March 2022 End of Temporary Transitional Powers (TTP)
Alert

14 March 2022 End of Temporary Transitional Powers (TTP)

March 14, 2022

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

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

March 09, 2022

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

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

March 09, 2022

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

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

February 25, 2022

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14 Jan 2022 Climate related Disclosures Final Rules
Alert

14 Jan 2022 Climate related Disclosures Final Rules

January 14, 2022

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

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

January 11, 2022

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

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

January 11, 2022

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6 Jan 2022 SFC Introduces Next Generation Digital Online Portal
Alert

6 Jan 2022 SFC Introduces Next Generation Digital Online Portal

January 06, 2022

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6 Jan 2022 Alert Changes to LIBOR
Alert

6 Jan 2022 Alert Changes to LIBOR

January 06, 2022

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3 December 2021 Changes to UK MIFIDs conduct and organisational requirements
Alert

3 December 2021 Changes to UK MIFIDs conduct and organisational requirements

December 03, 2021

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10 November 2021 Investment Firms Prudential Regime (IFPR) Update
Alert

10 November 2021 Investment Firms Prudential Regime (IFPR) Update

November 10, 2021

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05 November 2021 IFPR Update
Alert

05 November 2021 IFPR Update

November 05, 2021

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28 October 2021 Daylight Saving Time Will End This Sunday
Alert

28 October 2021 Daylight Saving Time Will End This Sunday

October 28, 2021

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12 October 2021 Temporary Marketing Permissions Regime (TMPR) Ending
Alert

12 October 2021 Temporary Marketing Permissions Regime (TMPR) Ending

October 12, 2021

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4 October 2021 SFC Operational Resilience and Remote Working
Alert

4 October 2021 SFC Operational Resilience and Remote Working

October 04, 2021

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20 September 2021 SFC AML Consultation Conclusion Summary Changes
Alert

20 September 2021 SFC AML Consultation Conclusion Summary Changes

September 20, 2021

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

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

August 25, 2021

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30 July 2021 Investment Firms Prudential Regime (IFPR)
Alert

30 July 2021 Investment Firms Prudential Regime (IFPR)

July 30, 2021

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29 July 2021 Sustainable Finance Disclosures Regulation Alert
Alert

29 July 2021 Sustainable Finance Disclosures Regulation Alert

July 29, 2021

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30 June 2021 Personal Data Flows: Adequacy Decision
Alert

30 June 2021 Personal Data Flows: Adequacy Decision

June 30, 2021

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23 June 2021 Climate-related Disclosures
Alert

23 June 2021 Climate-related Disclosures

May 23, 2021

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18 June 2021 SFC Consultation Conclusions Proposed Enhancements to Competency Framework
Alert

18 June 2021 SFC Consultation Conclusions Proposed Enhancements to Competency Framework

May 18, 2021

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6 May 2021 Bloomberg Retention Periods
Alert

6 May 2021 Bloomberg Retention Periods

May 06, 2021

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16 Mar 2021 EU Short Selling Regulation - Threshold Change
Alert

16 Mar 2021 EU Short Selling Regulation - Threshold Change

March 16, 2021

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

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

October 18, 2020

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

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

October 12, 2020

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9 Oct 2020 10% Depreciation Rule
Alert

9 Oct 2020 10% Depreciation Rule

October 09, 2020

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11 Sep 2020 Securitisation Templates
Alert

11 Sep 2020 Securitisation Templates

September 11, 2020

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

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

September 01, 2020

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26 Aug 2020 Annual Financial Crime Report
Alert

26 Aug 2020 Annual Financial Crime Report

August 26, 2020

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17 Aug 2020 Post Trade Transparency
Alert

17 Aug 2020 Post Trade Transparency

August 17, 2020

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

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

July 16, 2020

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

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

July 02, 2020

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1 July 2020 EU Commission High Risk Third Country List
Alert

1 July 2020 EU Commission High Risk Third Country List

July 01, 2020

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

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

June 24, 2020

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5 June 2020 Liquidity Stress Testing in UCITS and AIFs
Alert

5 June 2020 Liquidity Stress Testing in UCITS and AIFs

June 05, 2020

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26 May 2020 Scam Due Diligence Email
Alert

26 May 2020 Scam Due Diligence Email

May 26, 2020

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12 May 2020 EMIR Reporting Changes
Alert

12 May 2020 EMIR Reporting Changes

May 12, 2020

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24 April 2020 Sustainability Regulation Update
Alert

24 April 2020 Sustainability Regulation Update

April 24, 2020

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17 April 2020 Weekly reporting obligation imposed by CSSF
Alert

17 April 2020 Weekly reporting obligation imposed by CSSF

April 17, 2020

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

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

April 02, 2020

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

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

March 19, 2020

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16 March 2020 Client and Market Notifications
Alert

16 March 2020 Client and Market Notifications

March 16, 2020

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5 March 2020 Sustainability Regulation
Alert

5 March 2020 Sustainability Regulation

March 05, 2020

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

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

February 07, 2020

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21 Jan 2020 Overview of Investment Firm Regulation and Directive
Alert

21 Jan 2020 Overview of Investment Firm Regulation and Directive

January 21, 2020

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20 Jan 2020 Firm Details Reporting to FCA
Alert

20 Jan 2020 Firm Details Reporting to FCA

January 20, 2020

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15 Jan 2020 Securities Financing Transactions Regulation ESMA Guidelines
Alert

15 Jan 2020 Securities Financing Transactions Regulation ESMA Guidelines

January 15, 2020

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3 Jan 2020 Short Selling Changes to means of Notification
Alert

3 Jan 2020 Short Selling Changes to means of Notification

January 03, 2020

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6 Dec 2019 Securities Financing Transactions Regulation
Alert

6 Dec 2019 Securities Financing Transactions Regulation

December 06, 2019

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5 Dec 2019 Data Protection Fee Collection
Alert

5 Dec 2019 Data Protection Fee Collection

December 05, 2019

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22 Oct 2019 FCA Concerns Personal Account Dealing and Transaction Reporting
Alert

22 Oct 2019 FCA Concerns Personal Account Dealing and Transaction Reporting

October 22, 2019

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

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

October 03, 2019

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

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

September 26, 2019

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19 Aug 2019 FCA Authorisations Approach
Alert

19 Aug 2019 FCA Authorisations Approach

August 19, 2019

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17 July 2019 Cross boarder Distribution of Collective Investment Undertakings
Alert

17 July 2019 Cross boarder Distribution of Collective Investment Undertakings

June 17, 2019

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10 June 2019 EMIR REFIT A Reminder
Alert

10 June 2019 EMIR REFIT A Reminder

June 10, 2019

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10 July 2019 Asset Management Market Study Final Rules
Alert

10 July 2019 Asset Management Market Study Final Rules

June 10, 2019

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28 May 2019 EMIR REFIT
Alert

28 May 2019 EMIR REFIT

May 28, 2019

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

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

April 25, 2019

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