News results for Compliance, Legal and Regulation

Legal
29 June 2021

Malaysian Wealth Management - Latest Developments

Here is an outline of important recent legal, tax and regulatory developments affecting wealth...

Advice
28 June 2021

MAS mystery shop gives advisors high marks

The Monetary Authority of Singapore has found little to complain about after completing a...

Fines and Punishment
28 June 2021

SFC fines Deutsche Securities Asia HK$2.45 million over incorrect prime brokerage statements

The Securities and Futures Commission of Hong Kong has punished Deutsche Securities Asia Ltd for...

Advice
28 June 2021

Better Advice Bill introduced into Australian Parliament

The Morrison Government of Australia is introducing further reforms to the financial advisory...

Compliance
28 June 2021

Compliance Corner: FATF, Malta

The Mediterranean island - a former UK colony and now a European Union member state - has been...

Compliance
28 June 2021

Compliance Corner: Hong Kong, Australia, Singapore, Others

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

Anti-Money Laundering
27 June 2021

AML expert convicted of money laundering

Dominic Thorncroft, 56, the former chairman of a British financial trade body and an...

Anti-Money Laundering
26 June 2021

Deutsche Bank to revolutionise compliance structure

In March Deutsche Bank relocated the command of its compliance effort from Stuart Lewis, its chief...

Anti-Money Laundering
25 June 2021

FATF puts Malta on grey list

The Financial Action Task Force has placed Malta on its 'increased monitoring list,' the so-called...

Fines and Punishment
24 June 2021

SEC sues Asante Berko successfully

The Securities and Exchange Commission has obtained a final judgment in the US district court of...

Comment & Analysis results for Compliance, Legal and Regulation

Compliance
14 June 2021

Compliance Corner: China Securities Regulatory Commission, BlackRock

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

Technology
11 June 2021

RegTech roundup: the latest data

The RegTech press has reported that regulatory technology companies worldwide improved last year on...

Compliance
11 June 2021

Basel Gives Blessing To Bank Cryptoassets

The Basel Committee on Banking Supervision is the "central bank for central banks," so its...

Compliance
11 June 2021

Basel Gives Blessing To Bank Cryptoassets

The Basel Committee on Banking Supervision is the "central bank for central banks," so its...

Anti-Corruption
10 June 2021

Julius Baer's US$79 million AML bribery fine explained

Bank Julius Baer, the Swiss private banking giant, recently admitted in federal court in Brooklyn...

Compliance
8 June 2021

Compliance Corner: DBS Group, China

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

Compliance
7 June 2021

Compliance Corner: MAS, Hong Kong Monetary Authority

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

Legal
4 June 2021

When Co-Parents Disagree - International Travel And Children

The UK has now introduced a new ‘traffic light’ system for international travel. What are the...

Cross Border
1 June 2021

Brexit and financial services - the story so far

Compliance Matters spoke recently to Alan Farkas, a London partner at the US law firm of Dorsey &...

Risk Management
1 June 2021

Biden's new climate-related strategy for financial regulators

In an Executive Order, President Joseph Biden of the United States has told federal financial...