News results for Compliance, Legal and Regulation

Anti-Money Laundering
25 June 2021

FATF puts Malta on grey list

The Financial Action Task Force has placed Malta on its 'increased monitoring list,' the so-called...

Fines and Punishment
24 June 2021

SEC sues Asante Berko successfully

The Securities and Exchange Commission has obtained a final judgment in the US district court of...

Fines and Punishment
24 June 2021

SEC persuades court to freeze assets of offshore fund and its operators

The Securities and Exchange Commission of the United States has charged an offshore fund and two...

Anti-Money Laundering
23 June 2021

University of Manchester offers MSc in Financial Crime and Compliance in Digital Societies

The University of Manchester, in association with the International Compliance Association (part of...

Anti-Money Laundering
22 June 2021

Global cost of financial crime compliance reaches US$213.9 billion

LexisNexis Risk Solutions has released its annual True Cost of Financial Crime Compliance Global...

Comment & Analysis results for Compliance, Legal and Regulation

Cross Border
1 June 2021

Brexit and financial services - the story so far

Compliance Matters spoke recently to Alan Farkas, a London partner at the US law firm of Dorsey &...

Risk Management
1 June 2021

Biden's new climate-related strategy for financial regulators

In an Executive Order, President Joseph Biden of the United States has told federal financial...

Regulation of Products
1 June 2021

Cadwalader's Reg-tracker for early June

Our Regulatory Tracker is a list of effective dates, comment deadlines, compliance dates and...

Compliance
1 June 2021

Compliance Corner: SEC

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

Compliance
1 June 2021

Compliance Corner: Hong Kong's SFC, Quarantine Policy

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