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

Compliance
10 November 2023

FCA Fires Warning At Wealth Managers

This week the UK watchdog told wealth managers and stockbrokers about the need to deliver good...

Legal
10 November 2023

Shareholder Disputes Increase: How To Manage Risks?

The authors of this article – the fourth in a series – say the present unsettled economic...

Compliance
9 November 2023

SEBA Bank Secures Hong Kong Licence

The Swiss bank has been building an international strategy, and now operates from the Middle East,...

Compliance
9 November 2023

FINMA's Cryptocurrency Stance Makes Swiss Industry Nervous

Switzerland has made waves in the world of cryptos and digital assets. Its "crypto valley" in Zug...

Compliance
6 November 2023

Compliance Corner: Hong Kong Monetary Authority

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

Compliance
2 November 2023

DBS Apologises For Digital Disruptions, Views Sweeping Changes

Singapore's DBS was hit with a range of disruptions and tech problems that affected clients in the...

Compliance
2 November 2023

When Investors Sue Fund Managers For Breaching National Marketing Rules – The French Example

The author of this guest commentary argues that to mitigate distribution risks when fundraising...

Compliance
1 November 2023

UBS Reacts To New US Executive Order On AI

The executive order on artificial intelligence – signed by US President Biden – aims to protect...

Compliance
31 October 2023

Cayman Islands, Panama Hail Removal From "Gray List"

The presence on this list, while it certainly doesn't halt financial business, can be a dampener...

Compliance
31 October 2023

Compliance Corner: Monetary Authority Of Singapore, Hong Kong SFC

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