Safeguarding
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Client categorization reform – the top 10 things you need to know
The aim of the reforms is to rebalance risk and allow firms to make well-founded assessments of whether a client meets the threshold of a professional client.
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Client asset protection: Hong Kong and UK considerations
Both sets of regulations aim to mitigate the loss of client money and assets through segregation.
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What firms can do to prepare for CASS 15
The FCA is aiming to remove ambiguity around safeguarding processes and better align them with the Client Asset Sourcebook.
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SEC seeks to enhance protection of customer information by updating Reg S-P
Customers must be notified about data breaches under new rules.
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SEC amends safeguarding rule to enhance customer asset protection
Changes address concerns about client asset custody problems in the crypto sector.