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

Compliance
October 7, 2024

Regulators Must Open Up About Decisions To Improve Fairness – Singapore Firm

Regulators that mete out punishments and other measures aren't infallible; a recent saga in

Compliance
October 3, 2024

Compliance Corner: FCA Fines UK's Starling Over Financial Crime Failings

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

Compliance
October 2, 2024

LPL Fires Arnold For Violating Code Of Conduct

The US financial advisory sector is digesting the news that the president and CEO of the country's

Compliance
September 25, 2024

A Proposed Customer Identification Program And Privacy Concerns

A difficult balance must be struck between complying with laws aimed at foiling money launderers

Compliance
September 25, 2024

Compliance Corner: SteelEye Launches New Surveillance Tool

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

Comment & Analysis results for Compliance, Legal and Regulation

Compliance
September 25, 2024

Compliance Corner: SteelEye Launches New Surveillance Tool

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

Compliance
September 19, 2024

Switzerland Punishes Mirabaud For "Serious" Compliance Violations

The regulator said it is not disclosing further details about proceedings or the identities of the

Compliance
September 19, 2024

The UK-Swiss Financial Services Agreement – The Implications

A mutual recognition treaty for financial services between Switzerland and the UK should

Compliance
September 18, 2024

Switzerland Punishes Mirabaud For "Serious" Compliance Violations, Confiscates SFr12.7 Million

The regulator said it is not disclosing further details about proceedings or the identities of the

Compliance
September 16, 2024

Compliance Corner: PGIM Secures Abu Dhabi Regulatory Permission

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