News results for Compliance, Legal and Regulation

Regulation of Products
8 June 2021

New York attorney general elaborates on reporting rules for securities

The New York State Office of the Attorney General has issued guidelines regarding state...

Fines and Punishment
8 June 2021

Florida man sentenced for US$1.3 million securities fraud

David Coggins, 42, of Miami has been sentenced to more than four years in prison for operating an...

People Moves
8 June 2021

New CCO for Union Bank of India

The chief general manager at India's ninth-largest bank has also become its chief compliance...

Regulation of Products
8 June 2021

Bailey mulls over regulation of stablecoin payments

Andrew Bailey, the Governor of the Bank of England and former CEO of the Financial Conduct...

Compliance
8 June 2021

Compliance Corner: DBS Group, China

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

Comment & Analysis results for Compliance, Legal and Regulation

Client Reporting
4 May 2021

The FCA's proposals to reform its MiFID regime for research and best execution

On 28 April, the UK's Financial Conduct Authority published consultative paper 21/9 in which it...

Regulation of Products
4 May 2021

Cadwalader's Reg-tracker for early May

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

Compliance
4 May 2021

UK Regulator Consults On SPAC Listing Regime Tweaks

A torrent of SPAC listings has taken place, particularly on Wall Street, and there are 33 estimated...

Anti-Money Laundering
3 May 2021

The East Caribbean's top five CBI money-laundering states

Donald Trump may not know where the Caribbean is, but the new Biden Administration most certainly...

Compliance
30 April 2021

Hong Kong's Offshore Wealth Policy - An Update

Hong Kong is a large asset- and wealth-management centre and its government is determined to make...