News results for Compliance, Legal and Regulation

Fines and Punishment
24 June 2021

SEC persuades court to freeze assets of offshore fund and its operators

The Securities and Exchange Commission of the United States has charged an offshore fund and two...

Anti-Money Laundering
23 June 2021

University of Manchester offers MSc in Financial Crime and Compliance in Digital Societies

The University of Manchester, in association with the International Compliance Association (part of...

Anti-Money Laundering
22 June 2021

Global cost of financial crime compliance reaches US$213.9 billion

LexisNexis Risk Solutions has released its annual True Cost of Financial Crime Compliance Global...

Technology
22 June 2021

SEBI revises sandbox rules

A so-called regulatory sandbox is a regime that a regulator sets up to allow FinTech (financial...

Cross Border
22 June 2021

Thai SEC and Hong Kong SFC issue regulations for reciprocal fund offers

The 'mutual recognition of funds' agreement between the Securities and Futures Commission of Hong...

Technology
22 June 2021

HKMA releases RegTech adoption practice guide

The Hong Kong Monetary Authority has begun to publish a series of Regtech Adoption Practice Guides...

Advice
22 June 2021

ASIC releases guidelines for continuous fee arrangements

The Australian Securities and Investments Commission has released an information sheet (INFO 256)...

Legal
22 June 2021

US Supreme Court Denies Goldman Sachs’ Plea To Raise Limits On Shareholder Fraud Lawsuits

At issue was an investor lawsuit filed in 2011 alleging that the US firm artificially inflated its...

Legal
22 June 2021

Divorce And CGT - Tax At A Taxing Time

Divorce can be painful for all kinds of reasons. An added source of difficulty in reaching...

Anti-Money Laundering
21 June 2021

AML compliance costs £28.7 billion per annum, suggests report

As this publication has often observed, the main result of governments' drive to force financial...

Comment & Analysis results for Compliance, Legal and Regulation

Regulation of Products
1 June 2021

Cadwalader's Reg-tracker for early June

Our Regulatory Tracker is a list of effective dates, comment deadlines, compliance dates and...

Compliance
1 June 2021

Compliance Corner: SEC

The latest compliance news: regulatory developments, punishments, guidance, permissions and new...

Compliance
1 June 2021

Compliance Corner: Hong Kong's SFC, Quarantine Policy

The latest compliance news: regulatory developments, punishments, guidance, permissions and new...

Compliance
1 June 2021

Julius Baer Finalises US Agreement Over FIFA Case

The bank will hope that this action draws a line under a saga that has been running for several...

Compliance
31 May 2021

Julius Baer Finalises US Agreement Over FIFA Case

The bank will hope that this action draws a line under a saga that has been running for several...

Client Data
28 May 2021

A celebration of three years of the GDPR

The General Data Protection Regulation - introduced in the European Union (which at the time...

Compliance
28 May 2021

Compliance Corner: Malta, European Union

The latest compliance news: regulatory developments, punishments, guidance, permissions and new...

Regulation of Products
27 May 2021

SPAC regulation on the way in US, suggests Gensler

The US capital markets are witnessing an unprecedented surge in non-traditional initial public...

Compliance
26 May 2021

Compliance Corner: Hong Kong

The latest compliance news: regulatory developments, punishments, guidance, permissions and new...

Anti-Money Laundering
25 May 2021

The FATF's evaluation of New Zealand's AML controls

Between 26 February and 15 March 2020 the Financial Action Task Force, the world's...