News results for Compliance, Legal and Regulation

People Moves
30 June 2021

GFSC appoints new commissioner

Julian Winser has been sworn in as a Guernsey Financial Services Commissioner after being approved...

Regulation of Products
30 June 2021

SFC publishes new guidelines for ESG fund disclosures

The Securities and Futures Commission of Hong Kong has issued a circular to management companies on...

Fines and Punishment
30 June 2021

FINRA orders Merrill Lynch to pay US$8.4 million over UITs

The US Financial Regulatory Authority has ordered Merrill Lynch, Pierce, Fenner & Smith to pay more...

Advice
30 June 2021

MAS plans to improve transaction-related safeguards for retail clients

The Monetary Authority of Singapore is proposing to strengthen the duty of financial advisory firms...

Compliance
30 June 2021

Compliance Corner: MAS

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

Comment & Analysis results for Compliance, Legal and Regulation

Legal
22 June 2021

US Supreme Court Denies Goldman Sachs’ Plea To Raise Limits On Shareholder Fraud Lawsuits

At issue was an investor lawsuit filed in 2011 alleging that the US firm artificially inflated its...

Legal
22 June 2021

Divorce And CGT - Tax At A Taxing Time

Divorce can be painful for all kinds of reasons. An added source of difficulty in reaching...

Anti-Money Laundering
21 June 2021

Will Malta follow Panama down the rabbit hole?

Unless something extraordinary occurs, on Wednesday the Financial Action Task Force will vote to...

Legal
21 June 2021

How To Hire Wealth Managers, Mitigate Restrictive Covenant Impact

How should wealth management firms hire wealth managers (often known as “CRMs”, client...

Anti-Money Laundering
17 June 2021

The AML use of tech-based managed services

Developments and advances in innovative technology provide wealth-management firms with new ways of...