News results for Compliance, Legal and Regulation

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...

Anti-Money Laundering
29 June 2021

FFIEC updates BSA/AML manual

The US Federal Financial Institutions Examination Council has updated four sections and respective...

Comment & Analysis results for Compliance, Legal and Regulation

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...

Compliance
17 June 2021

Basel’s Cryptoasset Stance Is No “Green Light,” But A Warning - Commentary

A wealth management figure and frequent commentator on financial affairs says that a global banking...