News 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

AML compliance costs £28.7 billion per annum, suggests report

As this publication has often observed, the main result of governments' drive to force financial...

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...

Fines and Punishment
18 June 2021

SFC fines Ewarton Securities S$1.5 million

The Securities and Futures Commission of Hong Kong has reprimanded and fined Ewarton Securities Ltd...

Comment & Analysis results for Compliance, Legal and Regulation

Regulation of Products
27 May 2021

SPAC regulation on the way in US, suggests Gensler

The US capital markets are witnessing an unprecedented surge in non-traditional initial public...

Compliance
26 May 2021

Compliance Corner: Hong Kong

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

Anti-Money Laundering
25 May 2021

The FATF's evaluation of New Zealand's AML controls

Between 26 February and 15 March 2020 the Financial Action Task Force, the world's...

Compliance
25 May 2021

Compliance Corner: Hong Kong

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

Compliance
24 May 2021

Malaysia Can't Prove That Seized Cash Was Linked To Ex-PM

Twists and turns continue in the criminal and legal wrangling over the scandal-warped Malaysian...