News, Comment & Analysis results for Compliance, Legal and Regulation

Compliance
23 January 2025

A New Cybersecurity, Resilience Regime Is In Town – The EU's DORA

New European Union legislation took effect this month that is designed to make financial...

Compliance
16 January 2025

Financial Regulators Turn Up Heat On Miscreants

The reports looked at a range of different types of financial misconduct, failure and outright...

Compliance
10 January 2025

Compliance Corner: Paragon Capital Management, Hong Kong, SFC

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

Compliance
9 January 2025

Compliance Corner: British Virgin Islands' New Beneficial Ownership Rules

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

Legal
20 December 2024

How New Legislation Will Help Victims Of Cryptocurrency Scams

A new bill before UK lawmakers is designed to end uncertainties over the status of digital assets...

Legal
19 December 2024

A New Dawn For Laws Governing Divorce Settlements

As the authors say, the main aim of a new report from the UK Law Commission is to balance personal...

Compliance
13 December 2024

Swiss Regulator Orders Leonteq Profit Disgorgement Over Shortcomings

The Swiss firm said it has taken a number of measures to address the problems that were found....

Compliance
11 December 2024

Compliance Corner: Finstreet Limited, ADGM

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

Compliance
11 December 2024

Compliance Corner: Allianz GI Targets China's Nascent Private Pensions Sector

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

Legal
5 December 2024

The Assisted Dying Bill – Lessons from Financial Abuse Claims

Financial abuse claims and contests around wills provide important lessons for legislators over the...

Comment & Analysis results for Compliance, Legal and Regulation

Compliance
23 January 2025

A New Cybersecurity, Resilience Regime Is In Town – The EU's DORA

New European Union legislation took effect this month that is designed to make financial...

Compliance
16 January 2025

Financial Regulators Turn Up Heat On Miscreants

The reports looked at a range of different types of financial misconduct, failure and outright...

Compliance
10 January 2025

Compliance Corner: Paragon Capital Management, Hong Kong, SFC

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

Compliance
9 January 2025

Compliance Corner: British Virgin Islands' New Beneficial Ownership Rules

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

Legal
20 December 2024

How New Legislation Will Help Victims Of Cryptocurrency Scams

A new bill before UK lawmakers is designed to end uncertainties over the status of digital assets...

Legal
19 December 2024

A New Dawn For Laws Governing Divorce Settlements

As the authors say, the main aim of a new report from the UK Law Commission is to balance personal...

Compliance
13 December 2024

Swiss Regulator Orders Leonteq Profit Disgorgement Over Shortcomings

The Swiss firm said it has taken a number of measures to address the problems that were found....

Compliance
11 December 2024

Compliance Corner: Finstreet Limited, ADGM

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

Compliance
11 December 2024

Compliance Corner: Allianz GI Targets China's Nascent Private Pensions Sector

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

Legal
5 December 2024

The Assisted Dying Bill – Lessons from Financial Abuse Claims

Financial abuse claims and contests around wills provide important lessons for legislators over the...