News results for Compliance, Legal and Regulation

Compliance
18 May 2021

Compliance Corner: Hong Kong

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

Compliance
18 May 2021

Taiwan Warns Over Hong Kong's Frozen Assets - Report

Freezing the of assets of a listed company crosses a new line for China's national security laws in...

Fines and Punishment
14 May 2021

SEC fines broker-dealer US$1.5 million for not sending off SARs to FinCEN

Between September 2015 and October 2018 GWFS, a registered broker-dealer, failed to send off...

Regulation of Products
14 May 2021

ESMA consultative exercise raises profile of European short-term VNAV money funds

The European Securities and Markets Authority’s recent consultative report, in which it thinks of...

People Moves
13 May 2021

Michael Hsu becomes Acting Comptroller of the Currency

Secretary Janet Yellen of the US Department of the Treasury has made Michael Hsu Acting Comptroller...

Regulation of Products
13 May 2021

British regulators present 'the Grid' again

Last year the Bank of England, the Prudential Regulation Authority, the Financial Conduct Authority...

Fines and Punishment
13 May 2021

FCA fines Sapien Capital over cum-ex trading

The UK's Financial Conduct Authority has fined Sapien Capital Ltd £178,000 for failings which led...

Suitability
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...

Comment & Analysis results for Compliance, Legal and Regulation

Compliance
18 May 2021

Compliance Corner: Hong Kong

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

Compliance
18 May 2021

Taiwan Warns Over Hong Kong's Frozen Assets - Report

Freezing the of assets of a listed company crosses a new line for China's national security laws in...

Regulation of Products
17 May 2021

The Financial Services Act 2021 – some details

The Financial Services Act 2021 was introduced in the House of Commons on 21 October 2020 and...

Best Practice
16 May 2021

What to do about account takeovers - some tips from FINRA

The US Financial Regulatory Authority has been receiving more and more reports of account takeovers...

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...

Technology
10 May 2021

The use of eIDV for compliance purposes

Over recent years, regulators of financial services have issued guidelines about ways to verify...

Technology
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...