News results for Compliance, Legal and Regulation

Regulation of Products
17 June 2021

Nearly all firms not reporting properly under MiFIR and EMIR, says ACA

New research from ACA Group, the compliance consultancy, suggests that 97% of financial firms are...

Regulation of Products
17 June 2021

SEC dithers over ETFs

The US Securities and Exchange Commission has, yet again, extended the date on which it proposes to...

Compliance
17 June 2021

Basel’s Cryptoasset Stance Is No “Green Light,” But A Warning - Commentary

A wealth management figure and frequent commentator on financial affairs says that a global banking...

Compliance
16 June 2021

Hightower Cleared To Create National Chartered Trust Company

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

Anti-Money Laundering
14 June 2021

Holy See doing well against money laundering, says MONEYVAL

According to the European chapter of the Financial Action Task Force, the world's...

Comment & Analysis results for Compliance, Legal and Regulation

Compliance
18 May 2021

Compliance Corner: Hong Kong

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

Compliance
18 May 2021

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...

Regulation of Products
17 May 2021

The Financial Services Act 2021 – some details

The Financial Services Act 2021 was introduced in the House of Commons on 21 October 2020 and...

Best Practice
16 May 2021

What to do about account takeovers - some tips from FINRA

The US Financial Regulatory Authority has been receiving more and more reports of account takeovers...

Compliance
13 May 2021

Compliance Corner: SEC

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