News, Comment & Analysis results for Compliance, Legal and Regulation

Compliance
28 February 2024

UK Regulator Wants To Move Faster, Say More About Firms It Investigates

The UK financial regulator says it wants to be more open from the start about the businesses it...

Legal
27 February 2024

Wealth Advisors Hit With US Anti-Competition Class Action Claims – Report

Firms including Mariner Wealth are accused of colluding to rig the hiring and recruitment market, a...

Compliance
27 February 2024

FATF Removes Four Jurisdictions, Including UAE, From Its Compliance "Grey List"

With reputations on the line, being removed from the list is an achievement that such...

Legal
27 February 2024

A Shift From London As “Divorce Capital Of The World”?

It is unclear whether London will retain its international reputation as a place favoured for its...

Compliance
26 February 2024

FATF Takes Four Jurisdictions, Including UAE, Off Its Compliance "Gray List"

With reputations on the line, being removed from the list is an achievement that such jurisdictions...

Compliance
23 February 2024

Compliance Corner: The Bahamas, European Union "Grey List"

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

Compliance
21 February 2024

Cayman Islands' Government Hails List Removal By European Union, FATF

The presence on such lists has been a shadow over the affected jurisdictions, so their removal is a...

Compliance
19 February 2024

Germany's Financial Regulator Tells Deutsche To Tighten Data Processing

The report concerns the banker's transaction-monitoring systems. ...

Compliance
16 February 2024

FCA Probes UK Advisors On Consumer Duty Progress

The Consumer Duty regulatory framework, taking force in 31 July, 2023, is designed to improve...

Compliance
15 February 2024

Compliance Corner: UK Regulator Smacks Down More Financial Adverts

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