News results for Compliance, Legal and Regulation
Compliance Corner: MAS, Hong Kong Monetary Authority
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
When Co-Parents Disagree - International Travel And Children
The UK has now introduced a new ‘traffic light’ system for international travel. What are the...
EU marches towards standardisation in SupTech
The European Central Bank, the 'regulator's regulator' in the financial realm of the European...
SEC prosecutes investment advisors over US$1 billion trading loss
The US Securities and Exchange Commission has taken two portfolio-managers-cum-investment-advisors,...
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
Before Lawyers Arrive, Consider The Mediation Option
The option of going for mediation can be far more useful for fractious couples and families than...
The Arrival Of KYI: "Know Your Investment"
This article examines how the due diligence checks wealth managers are used to performing on their...
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 Corner: Hong Kong
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
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...
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