News results for Compliance, Legal and Regulation

Compliance
11 June 2021

Basel Gives Blessing To Bank Cryptoassets

The Basel Committee on Banking Supervision is the "central bank for central banks," so its...

Compliance
11 June 2021

Basel Gives Blessing To Bank Cryptoassets

The Basel Committee on Banking Supervision is the "central bank for central banks," so its...

Fines and Punishment
10 June 2021

New York City Bar Association outlines compliance officers' liabilities

Last autumn, Securities and Exchange Commissioner Hester Peirce called for the appearence of a...

Regulation of Products
8 June 2021

New York attorney general elaborates on reporting rules for securities

The New York State Office of the Attorney General has issued guidelines regarding state...

Fines and Punishment
8 June 2021

Florida man sentenced for US$1.3 million securities fraud

David Coggins, 42, of Miami has been sentenced to more than four years in prison for operating an...

Comment & Analysis results for Compliance, Legal and Regulation

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...

Compliance
5 May 2021

Compliance Corner: Monetary Authority Of Singapore

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

Client Reporting
4 May 2021

The FCA's proposals to reform its MiFID regime for research and best execution

On 28 April, the UK's Financial Conduct Authority published consultative paper 21/9 in which it...

Regulation of Products
4 May 2021

Cadwalader's Reg-tracker for early May

Our Regulatory Tracker is a list of effective dates, comment deadlines, compliance dates and...