News results for Compliance, Legal and Regulation

Legal
June 21, 2021

How To Hire Wealth Managers, Mitigate Restrictive Covenant Impact

How should wealth management firms hire wealth managers (often known as “CRMs”, client

Compliance
June 16, 2021

Hightower Cleared To Create National Chartered Trust Company

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

Compliance
June 11, 2021

Basel Gives Blessing To Bank Cryptoassets

The Basel Committee on Banking Supervision is the "central bank for central banks," so its

Legal
June 4, 2021

When Co-Parents Disagree - International Travel And Children

The UK has now introduced a new ‘traffic light’ system for international travel. What are the

Compliance
June 1, 2021

Compliance Corner: SEC

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

Compliance
May 13, 2021

Compliance Corner: SEC

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

Compliance
May 7, 2021

Compliance Corner: SEC, Gary Gensler

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

Legal
April 29, 2021

Before Lawyers Arrive, Consider The Mediation Option

The option of going for mediation can be far more useful for fractious couples and families than

Compliance
April 26, 2021

Compliance Corner: SEC Charges Ex-Racecar Team Boss; Pays Whistleblowers $50 Million

In one of the cases, the regulator paid its second-highest amount to co-whistleblowers for bringing

Legal
April 23, 2021

High Court Ruling Over £450 Million Divorce Payout - The Implications

Parties in financial remedy proceedings have a duty of full and frank disclosure throughout. If a

Comment & Analysis results for Compliance, Legal and Regulation

Legal
June 21, 2021

How To Hire Wealth Managers, Mitigate Restrictive Covenant Impact

How should wealth management firms hire wealth managers (often known as “CRMs”, client

Legal
June 4, 2021

When Co-Parents Disagree - International Travel And Children

The UK has now introduced a new ‘traffic light’ system for international travel. What are the

Legal
April 29, 2021

Before Lawyers Arrive, Consider The Mediation Option

The option of going for mediation can be far more useful for fractious couples and families than

Legal
April 23, 2021

High Court Ruling Over £450 Million Divorce Payout - The Implications

Parties in financial remedy proceedings have a duty of full and frank disclosure throughout. If a

Legal
April 22, 2021

Billionaire's Son Tried To Foil Mother's £450 Million Divorce Settlement - Court

The award sheds light on how divorce cases are major wealth/loss events for ultra-high net worth

Legal
April 19, 2021

US Pension Fund Sues Credit Suisse Over Archegos, Greensill Losses - Media

The bank has been hit by exposure to two failed businesses - a hedge fund/family office and a

Legal
April 19, 2021

Pension Fund Sues Credit Suisse Over Archegos, Greensill Losses - Media

The bank has been hit by exposure to two failed businesses - a hedge fund/family office and a

Legal
April 15, 2021

How Working Life Of Wealth Managers Looks Amid COVID Crisis

Matters ranging from staff appraisals to cybersecurity discipline are thrown into sharp relief and

Legal
March 2, 2021

How Wealth Management Stays "On Message" - Lessons From KPMG Case

Choice of words and actions matter. Senior leaders or those close to the top must set, champion and

Legal
March 1, 2021

Bitcoin: Legal Risks For Asia-Based Investors And Advisors 

A senior lawyer in Asia asks what sort of considerations investors should have in mind when buying