News results for Compliance, Legal and Regulation

Uncategorised
13 May 2021

Bank of Russia publishes promotional guidance

The Central Bank of Russia has asked every bank not to offer combined products and regular deposits...

Compliance
13 May 2021

Compliance Corner: SEC

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

Compliance
13 May 2021

Skybound Wealth USA Receives Federal Approval

The organisation, which has offices around the world, has won a regulatory green light from the SEC...

Uncategorised
12 May 2021

Gensler warns against gameification

Gary 'tough cop' Gensler, the new chairman of the US Securities and Exchange Commission, told...

Uncategorised
12 May 2021

FINRA fines SpeedRoute US$310,000 for bad market manipulation controls

The US Financial Regulatory Authority has censured and fined a provider of services to...

Uncategorised
10 May 2021

CISI qualifications in pipeline for Eastern Caribbean

The Eastern Caribbean Securities Regulatory Commission and the UK's Chartered Institute for...

Uncategorised
10 May 2021

SmartSearch goes to Holland

SmartSearch, the British anti-money-laundering (AML) firm from West Yorkshire, is introducing its...

Uncategorised
10 May 2021

BNB fined €100,000 over GDPR infraction

The Belgian Autorité de protection des données (APD) or Gegevensbeschermingsautoriteit, the...

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...

Comment & Analysis results for Compliance, Legal and Regulation

Compliance
20 April 2021

ABN AMBRO Warns Of Q1 Loss Over AML Settlement

The Amsterdam-based bank says that it expects a modest first quarter loss after settling the Dutch...

Compliance
19 April 2021

Compliance Corner: US Treasury, SEC's Gary Gensler

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

Uncategorised
19 April 2021

Icelandic central bank publishes annual report

The Central Bank of Iceland's annual report reveals some interesting facts about the regulator, FSA...

Compliance
19 April 2021

Compliance Corner: US Treasury, Monetary Authority Of Singapore, Others

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

Uncategorised
18 April 2021

French AMF publishes annual report

On the occasion of the publication of its annual report, France's Autorité des Marchés Financiers...

Uncategorised
16 April 2021

Norwegian regulation in 2020 - a snapshot

This article contains a brief overview of the regulatory efforts of Finanstilsynet, Norway's...

Compliance
16 April 2021

Compliance Corner: Financial Conduct Authority

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

Uncategorised
15 April 2021

The immediate future of crypto-regulation in the UK

Tectonic shifts have taken place in the United Kingdom's crypto-regulation landscape in the last 12...

Uncategorised
8 April 2021

The Ellis Wilson round-up

In this edition we look at changes to the UK Financial Conduct Authority's training-and-competence...

Uncategorised
8 April 2021

Crypto-assets and money-laundering control - some things to consider

More and more anti-money-laundering regulations apply to crypto-asset businesses as the market for...