News results for Compliance, Legal and Regulation
GFSC appoints new commissioner
Julian Winser has been sworn in as a Guernsey Financial Services Commissioner after being approved...
SFC publishes new guidelines for ESG fund disclosures
The Securities and Futures Commission of Hong Kong has issued a circular to management companies on...
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...
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 Corner: MAS
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Comment & Analysis results for Compliance, Legal and Regulation
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...
Divorce And CGT - Tax At A Taxing Time
Divorce can be painful for all kinds of reasons. An added source of difficulty in reaching...
Will Malta follow Panama down the rabbit hole?
Unless something extraordinary occurs, on Wednesday the Financial Action Task Force will vote to...
How To Hire Wealth Managers, Mitigate Restrictive Covenant Impact
How should wealth management firms hire wealth managers (often known as “CRMs”, client...
The AML use of tech-based managed services
Developments and advances in innovative technology provide wealth-management firms with new ways of...
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