News results for Compliance, Legal and Regulation

Technology
3 June 2021

EU marches towards standardisation in SupTech

The European Central Bank, the 'regulator's regulator' in the financial realm of the European...

Fines and Punishment
2 June 2021

SEC prosecutes investment advisors over US$1 billion trading loss

The US Securities and Exchange Commission has taken two portfolio-managers-cum-investment-advisors,...

Uncategorised
2 June 2021

Truss Edge offers new compliance analysis software for fund firms

A Chicago fund management technology platform has spent the year rolling out analytic software to...

Fines and Punishment
1 June 2021

DoJ indicts two for defrauding more than 20 investors

A US federal indictment charging a man from the District of Columbia and a woman from Connecticut...

Compliance
1 June 2021

Compliance Corner: SEC

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

Comment & Analysis results for Compliance, Legal and Regulation

Compliance
26 April 2021

Compliance Corner: SEC Charges Ex-Racecar Team Boss; Pays Whistleblowers $50 Million

In one of the cases, the regulator paid its second-highest amount to co-whistleblowers for bringing...

Compliance
26 April 2021

Compliance Corner: Hong Kong

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

Client Data
26 April 2021

New data privacy Bill on stocks in Canada

There is to be a new legislative regime to govern the collection, use, and disclosure of personal...

Legal
23 April 2021

High Court Ruling Over £450 Million Divorce Payout - The Implications

Parties in financial remedy proceedings have a duty of full and frank disclosure throughout. If a...

Legal
22 April 2021

Billionaire's Son Tried To Foil Mother's £450 Million Divorce Settlement - Court

The award sheds light on how divorce cases are major wealth/loss events for ultra-high net worth...