News results for Compliance, Legal and Regulation

Compliance
7 June 2021

Compliance Corner: MAS, Hong Kong Monetary Authority

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

Legal
4 June 2021

When Co-Parents Disagree - International Travel And Children

The UK has now introduced a new ‘traffic light’ system for international travel. What are the...

Technology
3 June 2021

EU marches towards standardisation in SupTech

The European Central Bank, the 'regulator's regulator' in the financial realm of the European...

Fines and Punishment
2 June 2021

SEC prosecutes investment advisors over US$1 billion trading loss

The US Securities and Exchange Commission has taken two portfolio-managers-cum-investment-advisors,...

Uncategorised
2 June 2021

Truss Edge offers new compliance analysis software for fund firms

A Chicago fund management technology platform has spent the year rolling out analytic software to...

Comment & Analysis results for Compliance, Legal and Regulation

Legal
29 April 2021

Before Lawyers Arrive, Consider The Mediation Option

The option of going for mediation can be far more useful for fractious couples and families than...

Compliance
28 April 2021

The Arrival Of KYI: "Know Your Investment"

This article examines how the due diligence checks wealth managers are used to performing on their...

Compliance
26 April 2021

Compliance Corner: SEC Charges Ex-Racecar Team Boss; Pays Whistleblowers $50 Million

In one of the cases, the regulator paid its second-highest amount to co-whistleblowers for bringing...

Compliance
26 April 2021

Compliance Corner: Hong Kong

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

Client Data
26 April 2021

New data privacy Bill on stocks in Canada

There is to be a new legislative regime to govern the collection, use, and disclosure of personal...