News, Comment & Analysis results for Compliance, Legal and Regulation

Compliance
2 July 2025

As New UK "Failure To Prevent Fraud" Law Looms, How Ready Are Firms?

With just under two months to go, a new UK law is about to take effect that will punish firms...

Compliance
26 June 2025

Advisors Cautiously Welcome US Accredited Investor Rule Change

At a time when alternative investment access is all the rage – not always without skeptical...

Compliance
26 June 2025

Hoxton Wealth Receives Dubai FSA Approval

The move means that Hoxton Wealth can operate in the DIFC. ...

Compliance
23 June 2025

Compliance Corner: Dutch National Bank, ABN AMRO

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

Compliance
20 June 2025

Bank Cybersecurity In Spotlight As UBS, Pictet Hit By Cyber Attack

The Swiss banks said client data was not affected in the attack. However, a media report said that...

Compliance
19 June 2025

Switzerland's OAG Fines Pictet, Punishes Ex-RM Over Money Laundering Case

A criminal probe established that the payments at the centre of the case took place between June...

Compliance
16 June 2025

OPINION OF THE WEEK: UBS's Regulatory Headache, And "High-Risk" IFCs

The editor looks at two stories of recent days – the regulatory tussle between UBS and the Swiss...

Compliance
16 June 2025

OPINION OF THE WEEK: UBS's Regulatory Headache, And What Just Happened In Monaco?

The editor looks at two stories of recent days – the regulatory tussle between UBS and the Swiss...

Compliance
12 June 2025

Compliance Corner: Guernsey Greenlights New Offshore Bank

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

Compliance
11 June 2025

European Commission Puts Monaco On "High-Risk" List, Removes Gibraltar, UAE, Others

The renowned international financial centre woke up yesterday to unwelcome news that the executive...

Comment & Analysis results for Compliance, Legal and Regulation

Compliance
2 July 2025

As New UK "Failure To Prevent Fraud" Law Looms, How Ready Are Firms?

With just under two months to go, a new UK law is about to take effect that will punish firms...

Compliance
26 June 2025

Advisors Cautiously Welcome US Accredited Investor Rule Change

At a time when alternative investment access is all the rage – not always without skeptical...

Compliance
26 June 2025

Hoxton Wealth Receives Dubai FSA Approval

The move means that Hoxton Wealth can operate in the DIFC. ...

Compliance
23 June 2025

Compliance Corner: Dutch National Bank, ABN AMRO

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

Compliance
20 June 2025

Bank Cybersecurity In Spotlight As UBS, Pictet Hit By Cyber Attack

The Swiss banks said client data was not affected in the attack. However, a media report said that...

Compliance
19 June 2025

Switzerland's OAG Fines Pictet, Punishes Ex-RM Over Money Laundering Case

A criminal probe established that the payments at the centre of the case took place between June...

Compliance
16 June 2025

OPINION OF THE WEEK: UBS's Regulatory Headache, And "High-Risk" IFCs

The editor looks at two stories of recent days – the regulatory tussle between UBS and the Swiss...

Compliance
16 June 2025

OPINION OF THE WEEK: UBS's Regulatory Headache, And What Just Happened In Monaco?

The editor looks at two stories of recent days – the regulatory tussle between UBS and the Swiss...

Compliance
12 June 2025

Compliance Corner: Guernsey Greenlights New Offshore Bank

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

Compliance
11 June 2025

European Commission Puts Monaco On "High-Risk" List, Removes Gibraltar, UAE, Others

The renowned international financial centre woke up yesterday to unwelcome news that the executive...