News results for Compliance, Legal and Regulation

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...

Comment & Analysis results for Compliance, Legal and Regulation

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...