News results for Compliance, Legal and Regulation

Client Data
29 June 2021

EU pronounces British data protection regime 'adequate'

The European Union has judged the United Kingdom to be 'adequate' for the purposes of both the...

Compliance
29 June 2021

Compliance Corner: MAS

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

Legal
29 June 2021

Malaysian Wealth Management - Latest Developments

Here is an outline of important recent legal, tax and regulatory developments affecting wealth...

Advice
28 June 2021

MAS mystery shop gives advisors high marks

The Monetary Authority of Singapore has found little to complain about after completing a...

Fines and Punishment
28 June 2021

SFC fines Deutsche Securities Asia HK$2.45 million over incorrect prime brokerage statements

The Securities and Futures Commission of Hong Kong has punished Deutsche Securities Asia Ltd for...

Comment & Analysis results for Compliance, Legal and Regulation

Compliance
16 June 2021

Hightower Cleared To Create National Chartered Trust Company

The organization said it received "conditional regulatory approval" for the new structure. ...

People Moves
14 June 2021

What makes an effective compliance officer?

This poster, circulated to entice Americans to enlist in NASA for its push to explore and...

Compliance
14 June 2021

Compliance Corner: China Securities Regulatory Commission, BlackRock

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

Technology
11 June 2021

RegTech roundup: the latest data

The RegTech press has reported that regulatory technology companies worldwide improved last year on...

Compliance
11 June 2021

Basel Gives Blessing To Bank Cryptoassets

The Basel Committee on Banking Supervision is the "central bank for central banks," so its...