Insights

California Diversity Disclosure Law Compliance Support Services

February 18, 2026

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California’s Mandatory Diversity Reporting For VC Fund Managers

February 10, 2026

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Weekly Newsletter

February 03, 2026

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

January 30, 2026

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Weekly Newsletter

January 27, 2026

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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

December 22, 2025

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Fund Liquidity Risk Management

December 18, 2025

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Update: 13F-2 Delayed

December 12, 2025

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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

November 21, 2025

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NFA Virtual Currency Update - Interpretive Notice 9073 Repealed & Compliance Rule 2-51 Amended

October 31, 2025

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Welcome to Optima’s cybersecurity newsletter

September 22, 2025

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27 Aug 2025 - JMLSG Guidance Revisions

August 27, 2025

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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

March 16, 2025

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14 Mar 2025 - EMIR reporting changes

March 14, 2025

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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

November 29, 2024

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25 Nov 2024 - Economic Crime and Corporate Transparency Act 2023

November 25, 2024

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22 Nov 2024 - Transaction Reporting Developments

November 22, 2024

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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

October 18, 2024

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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

August 05, 2024

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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

July 12, 2024

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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

May 28, 2024

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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

May 16, 2024

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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

March 05, 2024

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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

February 02, 2024

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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

January 12, 2024

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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

December 04, 2023

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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

October 23, 2023

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23 Oct 2023 - Optima Risk Alert - 2024 Exam Priorities

October 23, 2023

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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

September 19, 2023

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13 Sep 2023 - Share Trading Obligation and Derivatives Trading Obligation

September 13, 2023

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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

September 01, 2023

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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

March 17, 2023

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14 Mar 2023 - FCA Multi Firm Review

March 14, 2023

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7 Mar 2023 - FCA Levies - Economic Crime Levy

March 07, 2023

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Jan 2023 - Optima Partners SEC Marketing FAQ

January 01, 2023

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7 Sep 2022 Market Abuse Systems and Controls

September 07, 2022

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1 Sep 2022 Strengthening of Financial Promotion Rules

September 01, 2022

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26 Aug 2022 Consumer Duty

June 26, 2022

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18 Aug 2022 Annual FINRA Entitlement Certification

June 18, 2022

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

June 09, 2022

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27 May 2022 FCA Fees: Form A Application

May 27, 2022

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12 May 2022 Financial Crime Controls

May 12, 2022

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01 April 2022 Changes to PRIPPs Regime

April 01, 2022

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23 March 2022 MIFIDPRU TP 7 Notification Update

March 23, 2022

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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

March 09, 2022

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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

February 25, 2022

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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

January 11, 2022

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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

January 06, 2022

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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

December 03, 2021

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10 November 2021 Investment Firms Prudential Regime (IFPR) Update

November 10, 2021

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05 November 2021 IFPR Update

November 05, 2021

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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

October 12, 2021

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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

September 20, 2021

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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)

July 30, 2021

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29 July 2021 Sustainable Finance Disclosures Regulation Alert

July 29, 2021

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30 June 2021 Personal Data Flows: Adequacy Decision

June 30, 2021

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23 June 2021 Climate-related Disclosures

May 23, 2021

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18 June 2021 SFC Consultation Conclusions Proposed Enhancements to Competency Framework

May 18, 2021

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6 May 2021 Bloomberg Retention Periods

May 06, 2021

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16 Mar 2021 EU Short Selling Regulation - Threshold Change

March 16, 2021

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16 April 2021 Annual Financial Crime Report

March 16, 2021

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5 March 2021 EMIR Reporting - Changes

March 05, 2021

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

March 01, 2021

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4 Dec 2020 Shareholder Notification - New Reporting System

December 04, 2020

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27 Nov 2020 Brexit Countdown - SFTR Update

November 27, 2020

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18 Nov 2020 Investment Firm’s Prudential Regime Delayed

November 18, 2020

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Optima successfully expands into Hong Kong!

November 06, 2020

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28 Oct 2020 Brexit Countdown

October 28, 2020

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23 Oct 2020 Daylight saving time will end this Sunday

October 23, 2020

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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

October 12, 2020

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9 Oct 2020 10% Depreciation Rule

October 09, 2020

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11 Sep 2020 Securitisation Templates

September 11, 2020

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

September 01, 2020

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26 Aug 2020 Annual Financial Crime Report

August 26, 2020

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17 Aug 2020 Post Trade Transparency

August 17, 2020

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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

July 02, 2020

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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

June 24, 2020

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5 June 2020 Liquidity Stress Testing in UCITS and AIFs

June 05, 2020

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26 May 2020 Scam Due Diligence Email

May 26, 2020

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12 May 2020 EMIR Reporting Changes

May 12, 2020

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24 April 2020 Sustainability Regulation Update

April 24, 2020

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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

April 02, 2020

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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

March 16, 2020

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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

February 07, 2020

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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

January 20, 2020

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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

January 03, 2020

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6 Dec 2019 Securities Financing Transactions Regulation

December 06, 2019

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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

October 22, 2019

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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

September 26, 2019

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19 Aug 2019 FCA Authorisations Approach

August 19, 2019

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17 July 2019 Cross boarder Distribution of Collective Investment Undertakings

June 17, 2019

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10 June 2019 EMIR REFIT A Reminder

June 10, 2019

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10 July 2019 Asset Management Market Study Final Rules

June 10, 2019

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28 May 2019 EMIR REFIT

May 28, 2019

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

April 25, 2019

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