News results for Compliance, Legal and Regulation

Uncategorised
7 May 2021

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
7 May 2021

Compliance Corner: SEC, Gary Gensler

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

Uncategorised
6 May 2021

Laven acquires compliance consultancy

Laven Partners, the British regulatory software vendor and compliance consultancy, has bought the...

Compliance
6 May 2021

Compliance Corner: Australia's ASIC, Westpac

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

Uncategorised
5 May 2021

FCA aims to do more to protect investors in SPACs

The UK's Financial Conduct Authority is consulting interested parties about changing its listing...

Uncategorised
5 May 2021

Lion City regulator opens RegTech grant scheme

The Monetary Authority of Singapore has created a new system of subsidies to encourage the growth...

Compliance
5 May 2021

Compliance Corner: Monetary Authority Of Singapore

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

Uncategorised
4 May 2021

Members of IOOF group to mend their ways

The wealth management giant IOOF has promised to take remedial action to solve some problems that...

Compliance
4 May 2021

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...

Uncategorised
3 May 2021

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

Uncategorised
7 May 2021

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
7 May 2021

Compliance Corner: SEC, Gary Gensler

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

Compliance
6 May 2021

Compliance Corner: Australia's ASIC, Westpac

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

Compliance
5 May 2021

Compliance Corner: Monetary Authority Of Singapore

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

Uncategorised
4 May 2021

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...

Uncategorised
4 May 2021

Cadwalader's Reg-tracker for early May

Our Regulatory Tracker is a list of effective dates, comment deadlines, compliance dates and...

Compliance
4 May 2021

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...

Uncategorised
3 May 2021

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...

Compliance
30 April 2021

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...

Compliance
28 April 2021

The Arrival Of KYI: "Know Your Investment"

This article examines how the due diligence checks wealth managers are used to performing on their...