News results for Compliance, Legal and Regulation
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...
Members of IOOF group to mend their ways
The wealth management giant IOOF has promised to take remedial action to solve some problems that...
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...
Compliance officers call on regulators for more AML guidance
An overwhelming majority of compliance people say that regulators are not guiding them and...
Comment & Analysis results for Compliance, Legal and Regulation
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...
The Arrival Of KYI: "Know Your Investment"
This article examines how the due diligence checks wealth managers are used to performing on their...