News results for Compliance, Legal and Regulation
EU marches towards standardisation in SupTech
The European Central Bank, the 'regulator's regulator' in the financial realm of the European...
SEC prosecutes investment advisors over US$1 billion trading loss
The US Securities and Exchange Commission has taken two portfolio-managers-cum-investment-advisors,...
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...
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 Corner: SEC
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Comment & Analysis results for Compliance, Legal and Regulation
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 Corner: Hong Kong
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
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...
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...
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...
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