News results for Compliance, Legal and Regulation
CISI qualifications in pipeline for Eastern Caribbean
The Eastern Caribbean Securities Regulatory Commission and the UK's Chartered Institute for...
SmartSearch goes to Holland
SmartSearch, the British anti-money-laundering (AML) firm from West Yorkshire, is introducing its...
BNB fined €100,000 over GDPR infraction
The Belgian Autorité de protection des données (APD) or Gegevensbeschermingsautoriteit, the...
RBI on crusade to simplify regulations
The Reserve Bank of India has set up a Regulations Review Authority, initially for a period of one...
Compliance Corner: SEC, Gary Gensler
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Laven acquires compliance consultancy
Laven Partners, the British regulatory software vendor and compliance consultancy, has bought the...
Compliance Corner: Australia's ASIC, Westpac
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
FCA aims to do more to protect investors in SPACs
The UK's Financial Conduct Authority is consulting interested parties about changing its listing...
Lion City regulator opens RegTech grant scheme
The Monetary Authority of Singapore has created a new system of subsidies to encourage the growth...
Compliance Corner: Monetary Authority Of Singapore
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Comment & Analysis results for Compliance, Legal and Regulation
The use of eIDV for compliance purposes
Over recent years, regulators of financial services have issued guidelines about ways to verify...
Voice data, compliance and the 'new normal'
Financial service workplaces are bound to shift to more remote working in the long run. This brings...
Compliance Corner: SEC, Gary Gensler
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Compliance Corner: Australia's ASIC, Westpac
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Compliance Corner: Monetary Authority Of Singapore
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
The FCA's proposals to reform its MiFID regime for research and best execution
On 28 April, the UK's Financial Conduct Authority published consultative paper 21/9 in which it...
Cadwalader's Reg-tracker for early May
Our Regulatory Tracker is a list of effective dates, comment deadlines, compliance dates and...
UK Regulator Consults On SPAC Listing Regime Tweaks
A torrent of SPAC listings has taken place, particularly on Wall Street, and there are 33 estimated...
The East Caribbean's top five CBI money-laundering states
Donald Trump may not know where the Caribbean is, but the new Biden Administration most certainly...
Hong Kong's Offshore Wealth Policy - An Update
Hong Kong is a large asset- and wealth-management centre and its government is determined to make...