News results for Compliance, Legal and Regulation

18 May 2021

Taiwan Warns Over Hong Kong's Frozen Assets - Report

Freezing the of assets of a listed company crosses a new line for China's national security laws in...

Fines and Punishment
14 May 2021

SEC fines broker-dealer US$1.5 million for not sending off SARs to FinCEN

Between September 2015 and October 2018 GWFS, a registered broker-dealer, failed to send off...

Regulation of Products
14 May 2021

ESMA consultative exercise raises profile of European short-term VNAV money funds

The European Securities and Markets Authority’s recent consultative report, in which it thinks of...

People Moves
13 May 2021

Michael Hsu becomes Acting Comptroller of the Currency

Secretary Janet Yellen of the US Department of the Treasury has made Michael Hsu Acting Comptroller...

Regulation of Products
13 May 2021

British regulators present 'the Grid' again

Last year the Bank of England, the Prudential Regulation Authority, the Financial Conduct Authority...

Comment & Analysis results for Compliance, Legal and Regulation

30 March 2021

Compliance Corner: Mauritius, FINMA

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

30 March 2021

Supercharging Client Engagement With Digital Financial Personality Profiling

Where it is used in client engagement efforts at all, technology tends to focus on the...

Cross Border
29 March 2021

How Low-Tech Compliance Hits Competitiveness

It is becoming increasingly apparent how costly a low-tech approach to compliance management can be...

25 March 2021

SEC Puts Blank Check Company Boom Under Microscope - Media

Perhaps it was only a matter of time before the SEC put the phenomenon of blank check companies...

Anti-Money Laundering
24 March 2021

Running to stand still: the FATF's grey-listing of the Caymans

On 25 February, the Financial Action Task Force, the global money laundering and terrorist...