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Comment and Analysis

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Regulation of Products

Cold calling, advice and SIPPs - the latest FCA case

On 30 June Adam Johnson QC, sitting as a deputy judge of the English High Court, handed down a detailed and lengthy judgment in Financial Conduct Authority v Avacade Ltd (In Liquidation) and others regarding hig...

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Anti-Money Laundering

UK unveils its first Magnitsky sanctions

The UK has acquired its own Magnitsky sanctions regime, a means of ordering the freezing of assets of people whom the Government believes have committed infractions against human rights around the world. On the ...

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Anti-Money Laundering

The Fenergo interview: a compendium of tips for MLROs

What should a money-laundering reporting officer do if Hunter Biden is an applicant for business? What are the 'red flags' associated with the beneficial ownership of corporations by a HNW customer? How might th...

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Regulation of Products

MAR four years on: what has changed?

Today marks the fourth anniversary of the European Union's Market Abuse Regulation which replaced the previous Market Abuse Directive. In this article we ask a compliance expert to review its progress. ...

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Jurisdiction Focus

The FCA's test case for Coronavirus insurance

Most regulators around the world are staying far away from the question of whether business interruption insurance covers the consequences of the Coronavirus outbreak. Most say that this question can only be ans...

Latest News

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Regulation of Products

UAE plans to amalgamate two regulators

The Government of the United Arab Emirates has announced that it is going to unite the Insurance Authority with the Securities and Commodities Authority to form one financial services regulator....

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Technology

Delta Capita opens KYC platform

Delta Capita, a globally active provider of financial technology or FinTech, has marketed a client lifecycle management (CLM) platform that helps firms fulfil their AML duties and know their customers. ...

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Technology

MAS publishes digital token guide

The Monetary Authority of Singapore has published its Guide to Digital Token Offerings. The contents outline the regulator's approach but are not exhaustive, have no legal effect and do not modify or supersede a...

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Regulation of Products

HKMA outlines latest trends in misconduct

In its latest edition of Complaints Watch, the Hong Kong Monetary Authority has outlined some misbehavioural trends at banks in the last quarter....