News results for Compliance, Legal and Regulation
Compliance Corner: Hong Kong
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Taiwan Warns Over Hong Kong's Frozen Assets - Report
Freezing the of assets of a listed company crosses a new line for China's national security laws in...
SEC fines broker-dealer US$1.5 million for not sending off SARs to FinCEN
Between September 2015 and October 2018 GWFS, a registered broker-dealer, failed to send off...
ESMA consultative exercise raises profile of European short-term VNAV money funds
The European Securities and Markets Authority’s recent consultative report, in which it thinks of...
Michael Hsu becomes Acting Comptroller of the Currency
Secretary Janet Yellen of the US Department of the Treasury has made Michael Hsu Acting Comptroller...
British regulators present 'the Grid' again
Last year the Bank of England, the Prudential Regulation Authority, the Financial Conduct Authority...
FCA fines Sapien Capital over cum-ex trading
The UK's Financial Conduct Authority has fined Sapien Capital Ltd £178,000 for failings which led...
Bank of Russia publishes promotional guidance
The Central Bank of Russia has asked every bank not to offer combined products and regular deposits...
Compliance Corner: SEC
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Skybound Wealth USA Receives Federal Approval
The organisation, which has offices around the world, has won a regulatory green light from the SEC...
Comment & Analysis results for Compliance, Legal and Regulation
Compliance Corner: Hong Kong
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Taiwan Warns Over Hong Kong's Frozen Assets - Report
Freezing the of assets of a listed company crosses a new line for China's national security laws in...
The Financial Services Act 2021 – some details
The Financial Services Act 2021 was introduced in the House of Commons on 21 October 2020 and...
What to do about account takeovers - some tips from FINRA
The US Financial Regulatory Authority has been receiving more and more reports of account takeovers...
Compliance Corner: SEC
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Skybound Wealth USA Receives Federal Approval
The organisation, which has offices around the world, has won a regulatory green light from the SEC...
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...