News results for Compliance, Legal and Regulation

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...

Anti-Money Laundering
20 May 2021

Central AML database planned for European Union

The European Banking Authority is thinking of setting up an EU-wide database for...

Compliance
18 May 2021

Compliance Corner: Hong Kong

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

Comment & Analysis results for Compliance, Legal and Regulation

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...

Client Data
4 April 2021

Data subject access requests: three recent developments

In October the UK's Information Commissioner's Office published 'right of access detailed guidance'...

Compliance
1 April 2021

Regulator Lifts Acquisitions Ban On Julius Baer

The temporary ban was imposed by the watchdog after it found a number of failings at the bank over...