News results for Compliance, Legal and Regulation

Compliance
17 December 2021

UK’s Financial Regulator Fines GAM, Former Fund Manager

The saga highlighted how rapidly a listed fund management business can be hit by the woes of a...

Compliance
16 December 2021

Compliance Corner: Monetary Authority of Singapore

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

Compliance
15 December 2021

FCA Acts To Tackle Application Bottlenecks

The UK's financial services watchdog has defended using external legal and recruitment resources to...

Compliance
15 December 2021

LexisNexis Risk Solutions Warns Wealth Managers Over KYC, AML

The research comes amidst continued concerns over money-laundering risks, as highlighted this week...

Legal
14 December 2021

UK Watchdog Fines NatWest £264.7 Million For AML Failings

In its summary of the case, the FCA said that some of the bank’s employees, who were in charge of...

Comment & Analysis results for Compliance, Legal and Regulation

Compliance
17 December 2021

UK’s Financial Regulator Fines GAM, Former Fund Manager

The saga highlighted how rapidly a listed fund management business can be hit by the woes of a...

Compliance
16 December 2021

Compliance Corner: Monetary Authority of Singapore

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

Compliance
15 December 2021

FCA Acts To Tackle Application Bottlenecks

The UK's financial services watchdog has defended using external legal and recruitment resources to...

Compliance
15 December 2021

LexisNexis Risk Solutions Warns Wealth Managers Over KYC, AML

The research comes amidst continued concerns over money-laundering risks, as highlighted this week...

Legal
14 December 2021

UK Watchdog Fines NatWest £264.7 Million For AML Failings

In its summary of the case, the FCA said that some of the bank’s employees, who were in charge of...