News results for Compliance, Legal and Regulation

Compliance
December 21, 2020

Compliance Corner: Schwab, UK Regulator

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

Compliance
December 18, 2020

SEC, Massachusetts Turn Fire On Robinhood

Robinhood, a trading platform that said it did not charge commissions, agreed to pay $65 million to

Compliance
December 17, 2020

Compliance Corner: Financial Conduct Authority, Crypto Assets

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

Compliance
December 15, 2020

Compliance Corner: FINMA, REYL & Cie

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

Compliance
December 14, 2020

US Lawmakers Vote To Ban Anonymous Shell Companies

Both the Senate and House of Representatives have approved legislation aiming to outlaw anonymous

Comment & Analysis results for Compliance, Legal and Regulation

Compliance
December 14, 2020

US Lawmakers Vote To Ban Anonymous Shell Companies

Both the Senate and House of Representatives have approved legislation aiming to outlaw anonymous

Compliance
December 14, 2020

Financial Groups Pay $10.4 Billion In Compliance Fines So Far This Year

A number of prominent financial institutions fell foul of AML, know-your-client and other rules

Compliance
December 14, 2020

Financial Groups Pay $10.4 Billion In Compliance Fines So Far This Year

A number of prominent financial institutions fell foul of AML, know-your-client and other rules

Compliance
December 7, 2020

Compliance Corner: SEC

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

Compliance
December 7, 2020

Do Financial Professionals Have To Be "Holier Than Thou"?

Wealth management organisations need to fully understand what the term "non-financial misconduct"