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Regulatory Intelligence for Alternative Asset Managers

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Compliance Intelligence monitors FCA, DFSA, and FSRA regulatory developments in real time — covering AIFMD, SMCR, OFSI sanctions, and ICARA — translating complex regulation into plain English for hedge fund and private equity compliance teams.

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FCA Dear CEO Letter: AIFM Supervisory Priorities 2026 Today
The FCA has written to all AIFM chief executives outlining its supervisory focus areas for the year ahead.
⚠ Action required for AIFMs
DFSA Updated AML/CFT Module — DIFC Firms 2 days ago
DFSA has revised its AML module, tightening customer risk assessment requirements for investment firms.
📋 Policy update required
FCA ESG Naming & Marketing: Final Rules Published 5 days ago
Final rules on sustainable investment labels are now in force. Firms marketing ESG funds must comply.
🔍 Applies to ESG strategies
FCA  SMCR Reform Consultation — CP26/3 published  | DFSA  DIFC updated AML/CFT Module effective 1 Jul 2026  | FCA  Consumer Duty: Second-year review findings released  | FSRA  ADGM updated Market Conduct Rules effective 1 Jun 2026  | FCA  REP-CRIM 2026 submission window now open  | FCA  Operational Resilience: Thematic review of investment managers published  | DFSA  Virtual Assets Travel Rule — implementation guidance updated  | FCA  SMCR Reform Consultation — CP26/3 published  | DFSA  DIFC updated AML/CFT Module effective 1 Jul 2026  | FCA  Consumer Duty: Second-year review findings released  | FSRA  ADGM updated Market Conduct Rules effective 1 Jun 2026  | FCA  REP-CRIM 2026 submission window now open  | FCA  Operational Resilience: Thematic review of investment managers published  | DFSA  Virtual Assets Travel Rule — implementation guidance updated  |
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What's moving in compliance right now

Every update, translated into plain English and mapped to what it means for alternative asset managers. No jargon. No noise. Just what matters.

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FCANew20 May 2026
Dear CEO Letter: AIFM Supervisory Priorities 2026/27
What it says in plain English
The FCA has written directly to CEOs of alternative investment fund managers, setting out its supervisory focus for the year ahead. Key priorities include liquidity risk management, valuation governance, and the treatment of investors in closed-ended funds under stress.
AIFMsHedge FundsAction Required
FCANew16 May 2026
CP26/3: SMCR Reform Proposals for Solo-Regulated Firms
What it says in plain English
The FCA is consulting on simplifying the Senior Managers and Certification Regime for smaller firms. The proposals include reducing prescribed responsibilities and streamlining Certification Regime obligations. Consultation closes 30 July 2026.
SMCRAll FCA FirmsConsult by 30 Jul
DFSANew14 May 2026
Updated AML/CFT Module — Enhanced CDD for DIFC Investment Firms
What it says in plain English
The DFSA has updated its AML Module, introducing more detailed requirements around customer risk assessments and enhanced due diligence for high-risk clients. DIFC-regulated investment firms must update policies before 1 July 2026.
DIFC FirmsAML/KYCEffective 1 Jul 2026
FCA8 May 2026
ESG Fund Naming and Marketing Rules: Implementation Update
What it says in plain English
The FCA's sustainable investment label regime is now fully in force. Firms marketing funds with ESG characteristics must ensure materials, fund names, and disclosures comply. Supervisory reviews of non-compliant marketing begin Q3 2026.
ESG FundsMarketingDisclosures
FSRA25 Apr 2026
ADGM FSRA: Updated Market Conduct Rules Effective 1 June 2026
What it says in plain English
The FSRA has published revised Market Conduct Rules including updated requirements around market abuse controls, personal account dealing, and suspicious transaction reporting. Firms must update MAR frameworks before June.
ADGM FirmsMarket AbuseEffective 1 Jun 2026
FCA28 Apr 2026
Operational Resilience Thematic Review: Investment Manager Findings
What it says in plain English
The FCA published findings from its thematic review of operational resilience across investment management firms. Common weaknesses included inadequate mapping of important business services and untested impact tolerances.
Operational ResilienceInvestment ManagersGap Analysis
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SMF16 · SMF17 · 20+ years as CCO/COO inside hedge funds, PE and asset managers
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An AI-powered compliance platform designed exclusively for alternative asset managers — with human practitioner oversight built in at every step. Fifteen modules covering everything from ICARA and SMCR to Board Reporting and Bespoke Builds.

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15 modules in total — ICARA, SMCR, AML/KYC, Policy Library, Board Reporting, and more. Launching Q3 2026.

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FAQ

Frequently Asked Questions

Compliance Intelligence is a free weekly regulatory digest and AI-powered compliance platform built specifically for alternative asset managers — hedge funds, private equity firms, and boutique asset managers regulated by the FCA in the UK and the DFSA and FSRA in the UAE.
The newsletter is designed for Chief Compliance Officers, compliance managers, and senior operations professionals at FCA-regulated and DFSA-regulated alternative investment firms. It is particularly valuable for emerging and established managers with lean compliance teams who need to stay ahead of regulatory change without spending hours reading FCA publications.
Each issue covers the most material FCA and DFSA regulatory updates published that week, written in plain English with a clear explanation of what each change means for your firm and what action, if any, you need to take. We also include horizon scanning — upcoming regulatory changes you should be preparing for now.
Key FCA regulatory frameworks for alternative asset managers include the Investment Firms Prudential Regime (IFPR) and ICARA requirements, the Senior Managers and Certification Regime (SMCR), UK AIFMD, the Market Abuse Regulation (MAR), AML and financial crime obligations under JMLSG guidance, MiFID conduct of business rules, and ongoing FCA supervisory priorities including operational resilience and consumer duty where applicable.
Asset managers operating in the DIFC under DFSA regulation must comply with the DFSA Rulebook including conduct of business requirements, prudential obligations, AML and CFT requirements under UAE Central Bank guidance, FATF recommendations, and ongoing regulatory reporting obligations. The DFSA has significantly increased its supervisory activity in recent years as the number of regulated firms in DIFC has grown rapidly.
ICARA stands for Internal Capital Adequacy and Risk Assessment. Under the FCA's Investment Firms Prudential Regime, all FCA-regulated investment firms must complete an annual ICARA process assessing their potential harms, wind-down scenarios, capital adequacy, and liquidity requirements. It is one of the most significant ongoing compliance obligations for alternative asset managers and requires board-level sign-off.
The Compliance Intelligence platform is an AI-powered B2B SaaS compliance management system being built specifically for alternative asset managers. It will automate regulatory monitoring, policy management, compliance monitoring programmes, issues tracking, training records, and board reporting — replacing the spreadsheets and manual processes most compliance teams currently rely on. Join the waiting list to be notified at launch and to access founding member pricing.
The weekly regulatory newsletter and live feed are completely free. The Compliance Intelligence platform, which automates your firm's entire compliance function, will be available on a monthly subscription basis with pricing tiers designed for emerging managers through to complex multi-jurisdiction firms. Join the waiting list to be notified when the platform launches.