News results for Compliance, Legal and Regulation

Fines and Punishment
13 May 2021

FCA fines Sapien Capital over cum-ex trading

The UK's Financial Conduct Authority has fined Sapien Capital Ltd £178,000 for failings which led...

Suitability
13 May 2021

Bank of Russia publishes promotional guidance

The Central Bank of Russia has asked every bank not to offer combined products and regular deposits...

Compliance
13 May 2021

Compliance Corner: SEC

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

Compliance
13 May 2021

Skybound Wealth USA Receives Federal Approval

The organisation, which has offices around the world, has won a regulatory green light from the SEC...

Regulation of Products
12 May 2021

Gensler warns against gameification

Gary 'tough cop' Gensler, the new chairman of the US Securities and Exchange Commission, told...

Comment & Analysis results for Compliance, Legal and Regulation

Compliance
24 March 2021

Compliance Corner: FCA

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

Technology
17 March 2021

Where next for operational resilience?

The UK's Financial Conduct Authority defines operational resilience as the ability of financial...

Regulation of Products
17 March 2021

Cadwalader's Reg-tracker for late March

Our Regulatory Tracker is a list of effective dates, comment deadlines, compliance dates and...

Compliance
17 March 2021

UK Regulator To Start AML Case Vs NatWest

No individuals are being charged as part of these proceedings, the FCA said. The bank said it was...

Best Practice
16 March 2021

The meaning of culture - an expert speaks

TCC, the British compliance consultancy, has appointed former FCA culture specialist Olivia Fahy to...