News, Comment & Analysis results for Compliance, Legal and Regulation
Advisors Cautiously Welcome US Accredited Investor Rule Change
At a time when alternative investment access is all the rage – not always without skeptical...
Hoxton Wealth Receives Dubai FSA Approval
The move means that Hoxton Wealth can operate in the DIFC. ...
Bad Romance: Protecting Vulnerable Family Members From Love Scammers
With data showing a significant rise in cases of such "romance fraud," advisors need to be aware of...
Compliance Corner: Dutch National Bank, ABN AMRO
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
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...
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...
Senior Credit Suisse Figures Reportedly Warned Over Greensill – Media
A trial in the UK, involving a $440 million lawsuit against Japan's SoftBank over a deal it...
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...
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 Corner: Guernsey Greenlights New Offshore Bank
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Comment & Analysis results for Compliance, Legal and Regulation
Advisors Cautiously Welcome US Accredited Investor Rule Change
At a time when alternative investment access is all the rage – not always without skeptical...
Hoxton Wealth Receives Dubai FSA Approval
The move means that Hoxton Wealth can operate in the DIFC. ...
Bad Romance: Protecting Vulnerable Family Members From Love Scammers
With data showing a significant rise in cases of such "romance fraud," advisors need to be aware of...
Compliance Corner: Dutch National Bank, ABN AMRO
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
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...
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...
Senior Credit Suisse Figures Reportedly Warned Over Greensill – Media
A trial in the UK, involving a $440 million lawsuit against Japan's SoftBank over a deal it...
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...
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 Corner: Guernsey Greenlights New Offshore Bank
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
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