News results for Compliance, Legal and Regulation
Goldman investment in ComplyAdvantage reaches US$70 million
Goldman Sachs Growth Equity has sunk new investment into ComplyAdvantage, a global data technology...
Malaysia Can't Prove That Seized Cash Was Linked To Ex-PM
Twists and turns continue in the criminal and legal wrangling over the scandal-warped Malaysian...
FDIC seeks comment on digital asset use by banks
The Federal Depository Insurance Corporation is asking the industry for comments concerning the...
Newbridge Financial appoints CCO
Newbridge Financial Services Group of Boca Raton in Florida has promoted Jennifer Dorfman to be its...
FCA charges unregistered advisor
The UK's Financial Conduct Authority has commenced criminal proceedings against Ian James Hudson,...
Comment & Analysis results for Compliance, Legal and Regulation
How Working Life Of Wealth Managers Looks Amid COVID Crisis
Matters ranging from staff appraisals to cybersecurity discipline are thrown into sharp relief and...
The Ellis Wilson round-up
In this edition we look at changes to the UK Financial Conduct Authority's training-and-competence...
Crypto-assets and money-laundering control - some things to consider
More and more anti-money-laundering regulations apply to crypto-asset businesses as the market for...
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 Corner: SEC
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
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