News, Comment & Analysis results for Compliance, Legal and Regulation
Transatlantic Data Flows, Privacy In Focus After EU Court Ruling
The way that mass transfers of data between jurisdictions are handled and regulated is a...
Compliance Corner: BCP, Dubai Financial Services Authority
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Many Firms Still Aren't Ready For UK's Fraud Prevention Regime – Dentons
The new law, introduced under 2023 legislation, is extra-territorial in its scope – so businesses...
UBS Reaches $115 Million Derivatives-Related Settlement
UBS has been seeking to draw a line under a number of outstanding issues accompanying its emergency...
Citigroup's Wealth Chief Dismisses Complaints Against His Conduct – Media
The bank has reportedly brought in a law firm to investigate HR complaints involving Andy Sieg, who...
UK's New Offence Of Failure To Prevent Fraud – A Guide
The new “Failure to Prevent Fraud” offence comes into force in the UK on Monday 1 September,...
Global Regulatory Fines Surge, Digital Assets A Strong Focus – Fenergo
Regulators around the world dropped the hammer more heavily on a raft of financial institutions for...
Global Regulatory Fines Surge In H1 2025 – Fenergo
Regulators around the world dropped the hammer more heavily on a raft of financial institutions for...
"Deep-Dive Due Diligence" – Onboarding HNW Clients
We talk to a specialist in the field of compliance about the challenges that institutions – not...
HSBC Reportedly Offloads More Than 1,000 Middle East Clients Amid Regulatory Clampdown
The reported removal of such clients follows actions by the Swiss Financial Market Supervisory...
Comment & Analysis results for Compliance, Legal and Regulation
Transatlantic Data Flows, Privacy In Focus After EU Court Ruling
The way that mass transfers of data between jurisdictions are handled and regulated is a...
Compliance Corner: BCP, Dubai Financial Services Authority
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Many Firms Still Aren't Ready For UK's Fraud Prevention Regime – Dentons
The new law, introduced under 2023 legislation, is extra-territorial in its scope – so businesses...
UBS Reaches $115 Million Derivatives-Related Settlement
UBS has been seeking to draw a line under a number of outstanding issues accompanying its emergency...
Citigroup's Wealth Chief Dismisses Complaints Against His Conduct – Media
The bank has reportedly brought in a law firm to investigate HR complaints involving Andy Sieg, who...
UK's New Offence Of Failure To Prevent Fraud – A Guide
The new “Failure to Prevent Fraud” offence comes into force in the UK on Monday 1 September,...
Global Regulatory Fines Surge, Digital Assets A Strong Focus – Fenergo
Regulators around the world dropped the hammer more heavily on a raft of financial institutions for...
Global Regulatory Fines Surge In H1 2025 – Fenergo
Regulators around the world dropped the hammer more heavily on a raft of financial institutions for...
"Deep-Dive Due Diligence" – Onboarding HNW Clients
We talk to a specialist in the field of compliance about the challenges that institutions – not...
HSBC Reportedly Offloads More Than 1,000 Middle East Clients Amid Regulatory Clampdown
The reported removal of such clients follows actions by the Swiss Financial Market Supervisory...