News results for Compliance, Legal and Regulation

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...

KYC
18 June 2021

HKMA encourages remote onboarding

The Hong Kong Monetary Authority would like private banks in its jurisdiction to use iAM Smart, an...

Regulation of Products
18 June 2021

SEBI bumps up overall limit for overseas investment by AIFs

The Securities and Exchange Board of India, in tandem with the Reserve Bank of India, has raised...

Anti-Money Laundering
18 June 2021

UK extends Temporary Registration Regime for crypto-asset businesses

The UK's Financial Conduct Authority is extending the end date of the Temporary Registrations...

Comment & Analysis results for Compliance, Legal and Regulation

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...

Compliance
21 May 2021

Compliance Corner: MAS, Green Finance Industry Taskforce

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

Regulation of Products
19 May 2021

New general fiduciary-style duty on horizon in UK

The British Financial Conduct Authority wants to impose yet another duty on firms that service...

Regulation of Products
19 May 2021

The FCA's plans for long-term asset funds

Consultative paper 21/12, in which the regulator proposes to set up funds of a new type, stems from...