News results for Compliance, Legal and Regulation

People Moves
21 May 2021

Newbridge Financial appoints CCO

Newbridge Financial Services Group of Boca Raton in Florida has promoted Jennifer Dorfman to be its...

Fines and Punishment
21 May 2021

FCA charges unregistered advisor

The UK's Financial Conduct Authority has commenced criminal proceedings against Ian James Hudson,...

Fines and Punishment
21 May 2021

Asset manager's licence revoked in Hong Kong

The Securities and Futures Commission of Hong Kong has revoked the licence of the asset management...

Regulation of Products
21 May 2021

Regulatory grant scheme comes to Dragon City

The Securities and Futures Commission of Hong Kong is implementing a governmental scheme to...

Compliance
21 May 2021

Compliance Corner: MAS, Green Finance Industry Taskforce

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

Comment & Analysis results for Compliance, Legal and Regulation

Cross Border
8 April 2021

The future effects of Brexit on asset managers

In a recent 'lockdown webinar' hosted by the City law firm of Bryan Cave Leighton Paisner, the...

Compliance
8 April 2021

Compliance Corner: SEC

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

Compliance
6 April 2021

Compliance Corner: Abu Dhabi Global Market, JTC

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

Anti-Money Laundering
5 April 2021

Designed to fail? Banking, compliance and the FinCEN Files leak

Just over six months ago, the International Consortium of Investigative Journalists and Buzzfeed...

Compliance
5 April 2021

Who's Moving Where In Wealth Management? - International Compliance Association

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