News results for Compliance, Legal and Regulation
Compliance Corner: Hong Kong
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Taiwan Warns Over Hong Kong's Frozen Assets - Report
Freezing the of assets of a listed company crosses a new line for China's national security laws in...
SEC fines broker-dealer US$1.5 million for not sending off SARs to FinCEN
Between September 2015 and October 2018 GWFS, a registered broker-dealer, failed to send off...
ESMA consultative exercise raises profile of European short-term VNAV money funds
The European Securities and Markets Authority’s recent consultative report, in which it thinks of...
Michael Hsu becomes Acting Comptroller of the Currency
Secretary Janet Yellen of the US Department of the Treasury has made Michael Hsu Acting Comptroller...
Comment & Analysis results for Compliance, Legal and Regulation
Regulator Lifts Acquisitions Ban On Julius Baer
The temporary ban was imposed by the watchdog after it found a number of failings at the bank over...
Compliance Corner: Mauritius, FINMA
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Supercharging Client Engagement With Digital Financial Personality Profiling
Where it is used in client engagement efforts at all, technology tends to focus on the...
How Low-Tech Compliance Hits Competitiveness
It is becoming increasingly apparent how costly a low-tech approach to compliance management can be...
SEC Puts Blank Check Company Boom Under Microscope - Media
Perhaps it was only a matter of time before the SEC put the phenomenon of blank check companies...
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WEALTH TALK: More Greed Than Fear - Staying Disciplined In Frothy Markets
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