As part of its 'corporate sector whistleblower reforms,' public companies such as banks, large proprietary companies, and proprietary companies that are trustees of registrable superannuation entities must have policies available to their officers and employees by 1 January.
TruClarity Wealth Advisors, a Registered Investment Advisor that came into being in the Floridian town of Tampa last month, has hired Catherine Mustico as its chief compliance officer.
On a panel at MetricStream's Governance, Risk and Compliance conference in London today, a panel of experts discussed the rising complexity of markets and its effect on the job of the chief compliance officer.
The Securities and Futures Commission of Hong Kong has publicly reprimanded and fined UBS AG HK$400 million (US$51 million), while the Monetary Authority of Singapore has imposed a civil penalty of S$11.2 million (US$8.2 million) on it for deceptive trades by its client advisors.
On a panel at MetricStream's Governance, Risk and Compliance conference in London today, a panel of experts discussed the rising complexity of markets and its effect on the job of the chief compliance officer. ...
In this interview we talk to Rachel Woolley (pictured), Fenergo's anti-money-laundering expert, who contrasts the speed of the European Union's legislative schedule with the slowness of its implementation. She a...
After years of British financial advisors and discretionary fund managers talking about it and preparing for it, the Senior Managers and Certification Regime is almost here. A handy guide has been created to hel...
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A unique conference took place in London today, with Mark Berman (pictured), the principal of CompliGlobe, offering advice to financial firms in London that are registered with the US Securities and Exchange Com...
There are widespread misconceptions about Artificial Intelligence (AI) and these extend to its powers and its abilities. Potential users may have unrealistic expectations of what they can expect to see it do. ...
TruClarity Wealth Advisors, a Registered Investment Advisor that came into being in the Floridian town of Tampa last month, has hired Catherine Mustico as its chief compliance officer....
As part of its 'corporate sector whistleblower reforms,' public companies such as banks, large proprietary companies, and proprietary companies that are trustees of registrable superannuation entities must have ...
The Securities and Futures Commission of Hong Kong has publicly reprimanded and fined UBS AG HK$400 million (US$51 million), while the Monetary Authority of Singapore has imposed a civil penalty of S$11.2 millio...
The US Securities and Exchange Commission has rewarded three people who alerted it to a well-concealed fraud that targeted HNW retail investors....
The Danish Financial Supervision Authority has published a statement about anti-money-laundering controls at Handelsbanken, a branch of Svenska Handelsbanken AB. ...